Open Positions
Compliance Manager
Strategic responsibilities::
- Identify and maintain all regulatory compliance requirements and manage full compliance. Includes SEC Advisers Act and UCITS regulations.
- Maintain all internal risk monitoring requirements, including a strong understanding of portfolio and firm risk attributes
- Represent DCI and manage interactions with regulatory bodies
- Understand and manage GIPS and other performance reporting compliance requirements
- Envision and specify technology solutions to improve compliance reporting efficiencies
- Represent DCI with respect to full range of compliance controls to clients and prospects
- Assist in legal functions including corporate, pooled vehicle and Board of Directors matters
Functional responsibilities:
- Regulatory compliance, including:
- Annual review
- Personal securities transactions reporting/review
- Maintain Compliance Manual and Code of Ethics
- Best execution monitoring and reporting
- UCITS Compliance - include Financial Derivative (FDI) reporting, Risk Management Paper, UCITS restrictions monitoring, FDI limit back-testing and stress-testing
- ADV Part I & II updates and filing
- Internal Risk compliance:
- Prepare agendas for internal Risk Committees, prepare minutes
- Responsible for the maintenance and monitoring of all internal and client-mandated risk limits
- Specify and test limit requirements for internal limit monitoring system
- Client/marketing-oriented compliance:
- GIPS Compliance - maintain policies/procedures manual, work with verifiers, update GIPS-compliance disclosure materials
- Review marketing materials for proper disclosures and compliance with regulatory requirements
- Compliance input on firm RFPs and DDQs
Qualifications:
- Bachelors Degree
- At least seven years experience working in the financial services industry, preferably in the risk/compliance area with an investment adviser or auditor.
- Strong reasoning ability - able to understand risks across entire firm, particularly portfolio management and how compliance fits into business processes
- Exceptional organizational skills with a strong attention to details
- Experience accessing data, e.g. SQL or other databases, to create compliance and limit testing programs
- Ability to balance long term projects against daily tasks
- Strong written and oral communication skills
- Consistent, prompt follow through and able to meet deadlines
This position is based in San Francisco and offers the opportunity to work with innovative investment professionals in a high energy and collegial environment. Interested candidates may send their resumes to info@dci.com.
System Administrator
DCI is an innovative, research-driven, quantitative asset management firm, located in San Francisco. DCI was founded in 2004 with the philosophy of investing in fixed income, credit and equity markets by systematically exploiting cross-market information via theoretically consistent, empirically based capital structure models. We currently manage five funds with about$3.5bn in capital.
DCI is focused upon leveraging technology to develop new approaches in investment management. Technology is central to all aspects of the business, from research to portfolio management to client support and service.
Responsibilities:
- Manage Microsoft Windows network, corporate e-mail and security infrastructure
- Administer and maintain Windows-based domain and application servers
- Task automation and tools support using windows scripting
- Provide support on systems and application maintenance and troubleshooting
- Assess and improve systems and application security and availability
- Provide detailed documentation of systems and application configuration
Minimum Qualifications:
- BS degree in engineering, computer science, or other technical degree or equivalent training and experience
- 5+ years of Windows administration experience (Active Directory/Exchange/IIS)
- Working knowledge of Backup Exec and SonicWALL firewall
- Good understanding of TCP/IP networks, tools and related protocols
- Solid understanding of industry standard availability and security practices
- Strong analytical and problem solving skills
- Experience with disaster recovery planning and implementation
- Familiarity with a variety of hardware products and software applications
- Strong communication skills, process control and maintain up-to-date documentation
- Work trading hours and provide 24x7 on-call support
Desirable Qualifications:
- Experience with MS SQL Server
- Working knowledge of subversion/CVS, Apache/Tomcat
- Working knowledge of Oracle/Sun Solaris Server
- Experience in a high-volume, high-availability production environment
- Financial services background
Interested candidates may send their resumes to info@dci.com.