Compliance Coordinator – River Road Asset Management
Aviva USA - Louisville, KY

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Compliance Coordinator

About River Road Asset Management :
River Road Asset Management, an Aviva Investors Company, is an institutional investment management firm founded in April 2005. With over $7.0 billion in assets, Louisville, KY-based River Road provides institutional separate account and investment sub-advisory services to a broad range of domestic and international clients. Location : Louisville, KY

Reports To : Compliance Manager

The Compliance Coordinator governs regulatory and client-related compliance functions at the firm and most testing, reporting, and compliance system functionalities.

Primary Duties and Responsibilities

Actively assists the Compliance Manager with compliance functions.
Participates in reviews of IMAs and IPSs and performs redline with Manager input and oversight.
Reviews marketing materials with Manager input and oversight.
Prepares regulatory filings and compliance-related questionnaires for review by Compliance Manager.
Performs new account set up relating to client compliance files.
Coordinates code of ethics monitoring and certifications, including system maintenance.
Coordinates client-restriction monitoring, including system maintenance.
Manages proxy voting, including proxy account set up, ballot reconciliations, and interaction with proxy vendor.
Coordinates the compliance annual review process and prepares the final output.
Maintains compliance policies and procedures and assists in developing new policies and procedures
Assists in updating compliance program to meet changing regulatory requirements.
Manages books and records processes.
Manages quarterly GIPS audit and maintains necessary documents.

Knowledge:
Fundamental knowledge of the investment management industry.
Working knowledge of procedures and systems such as Microsoft Word, Microsoft Excel, managing files and records, and note-taking.
Working knowledge of Advent Rules Manager, Advent Portfolio Exchange, PTA Connect, or similar applications.

Skills and Abilities:
Ability to think critically and enhance processes.
Strong written communication skills.
Extraordinary attention to detail.
Ability to navigate regulations and rules.
Strong oral communication skills.
Ability to take initiative in leading projects.
Ability to troubleshoot systems and departmental functions to identify problems and propose solutions.
Ability to multi-task.
Strong interpersonal skills.
Strong organizational skills.
Ability to prioritize time and tasks independently of Manager, and adhere to deadlines
Ability to work efficiently with minimal supervision.
Ability to respond / react appropriately to problems.
Ability to thrive in a dynamic environment.

Requirements:
Bachelor’s Degree required.
Advanced degree or certification preferred.
2-3 years of relevant industry experience preferred.
Experience with the Investment Advisers Act preferred.
River Road Asset Management is an equal opportunity employer and a drug free workplace.

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