Senior Research and Brokerage Services Associate

Principal Responsibilities:

• Administer daily commission management program, working with brokers to reconcile commission credits in a timely manner.

• Work with management to ensure regulatory compliance of Section 28(e) of the Securities Exchange Act of 1934. (aka Soft Dollars)

• Assist with administration of semi-annual research voting process and ensure that all the stakeholders are kept up to date with the voting progress and final results. Stakeholders include our investment teams and external brokers.

• Prepare and supply funds’ Board of Directors with reports of soft dollar commission usage.

• Liaise with other departments (Trading, Portfolio Management, Legal, Compliance, Internal Audit, Fund Accounting, Corporate Technology, Marketing, etc.) as needed to enhance and support our soft dollar program.

• Prepare reporting concerning commissions, budgets, services, hard and soft dollar designations, etc.

• Process internal paperwork and third party contracts associated with soft dollared services, ensuring consistency with Sec 28(e) of the Securities Act of 1934.

Competencies for Success/Requirements:

• Working knowledge of soft dollar operations including Section 28(e) of the Securities Act a plus

• Strong understanding of trading processes, market data services, and financial service operations desired.

• Strong analytical skills, multi-tasking abilities and orientation for accurate and detailed analysis

• Superior organization, project management, follow-up and communication skills

• Ability to work under pressure to meet critical deadlines

• Undergraduate degree required.

• Exceptional organizational and communication skills.