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Public Consulting Group, Inc.
New York, NY 5 months ago
APG Asset Management US Inc.

APG Asset Management US Inc.

New York, NY

Compliance Officer

APG’s asset management division invests €560 billion (November 2020) in Dutch pension capital. As one of the largest pension fiduciaries in the world, we carefully consider return, risk, and cost, in balance with the social and sustainability performance of each investment we make.

We have realized an average return of approximately 7% over the last 20 years and are a global leader in responsible investing.

With 700 highly qualified employees working from the Netherlands, Hong Kong and the US, APG Asset Management has diverse in-house expertise to ensure stable, long-term returns.

APG Asset Management US Inc. is a wholly owned subsidiary of APG and has been investing in the Americas for our clients for over two decades.

We manage about 17% of APG’s total AuM ($102.4 billion as of June 2020) out of the New York office. Our staff of 145 professionals works across multiple asset classes, including fixed income, private equity, real estate, infrastructure, and alternative alpha.

For more information about APG, visit www.apg.nl / en

About the Position

Compliance Officer would assist in all aspects of the monitoring and enforcement of the Compliance Program, with an emphasis on monitoring the trading patterns of the Fundamental Equity team and working with Compliance officers in NL and HK.

Main Duties and Responsibilities :

  • Maintain and monitor the policies and procedures of the Fundamental Equity team. This includes monitoring the position holdings and facilitating any requiring SEC filings
  • Assist in developing, monitoring, testing, and enforcing Compliance policies and procedures
  • Assist in the oversight and monitoring procedures relating to the receipt of material non-public information
  • Administer all aspects of the firm’s Insider Trading Policy, including maintaining the restricted trading list ( RTL ), the watch list and liaising with the Front Office and APG NL / APG Asia
  • Star Compliance (Compliance Database and Monitoring system) administration and monitoring
  • Broker Feeds
  • Logical access controls / entitlements review
  • Testing of all system upgrades
  • Help administer all aspects of the firm’s Code of Ethics, including employee trade preapproval requests, surveillance, initial and annual reports and certifications, maintained in the StarCompliance system
  • Maintain and monitor compliance with portfolio investment guidelines
  • Conduct weekly email review
  • Interface with parent company counterparts on compliance issues and projects
  • Monitor trade execution quality review process and enforce and administer the Best Execution policy
  • Monitor and enforce Fair Allocation policy and procedures
  • Other Ad Hoc projects
  • Qualifications :

  • 3-5 years compliance experience at an Investment Advisor
  • Minimum Bachelor’s degree
  • Must be proactive and a team player
  • Compensation : Based on experience.

    If interested, please send your resume and cover letter (including compensation expectations) to sara.rudick apg-am.com.

    APG Asset Management US Inc. (APG) is an equal opportunity employer and does not discriminate against otherwise qualified applicants on the basis of race, color, creed, religion, ancestry, age, sex, gender identity, gender expression, marital status, national origin, disability or handicap, veteran status, sexual orientation or any other classification protected by applicable law.