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.