Job overview:
Position is responsible for ensuring Dwight Asset Management Company's compliance program meets the requirements of the Investment Advisers Act of 1940 Rule 206(4)-7 and the development, administration, maintenance and oversight of a comprehensive regulatory risk management program that supports the firm's enterprise risk management effort. The position is responsible for two primary areas: (i) ongoing assessment of firm policies and procedures to ensure they are adequately designed and effectively implemented in order to prevent violations of applicable securities rules and regulations. This will be accomplished through a combination of regular meetings with internal business owners and implementation of a robust compliance testing program that leverages off in-place compliance/business monitoring controls, creation of additional monitoring controls and/or other forensic testing methods and, when applicable, other internal/external audits. The assessment will be documented and meet industry best practices in meeting the annual requirements of Rule 206(4)-7 and (ii) development of a regulatory risk management program that proactively identifies, assesses, reports and mitigates key regulatory risks as part of the firm's enterprise risk management effort. The position reports to the Head of Compliance and is a highly visible position within the firm that interacts often with senior members of Dwight's investment, operations, technology, finance and other applicable internal teams.

Specific Responsibilities

• Manage the development and implementation of a comprehensive compliance program assessment review specific to Dwight's investment adviser activities under the Investment Advisers Act of 1940 and, where applicable, the requirements of the Investment Company Act of 1940 and/or FINRA or other federal and state regulations.
• Development and maintenance of a regulatory risk management program that identifies Dwight's existing and emerging regulatory risks and ensures those risks are assessed, mitigated and reported to Dwight's senior management team.
• Assist Dwight's investment, operational, compliance and other applicable personnel to adequately assess the compliance and regulatory risks that apply to their activities and to develop internal procedures and controls. Make recommendations and assist internal business owners on improvements and efficiencies to firm policies and procedures that will meet regulatory requirements, industry best practices and client & management expectations.
• Recommend to management solutions to mitigate existing regulatory risks and identify potential emerging risks.
• Work with other areas of the firm to ensure comprehensive enterprise risk reporting is delivered to Dwight's senior management team.
• Liaison with Dwight's parent company for various compliance and risk reporting requirements, issues and resolutions.
• Remain current with regulatory matters related to the industry generally and Compliance Program oversight and regulatory risk management specifically and advise management of significant matters.
• Assist in management of regulatory examinations, and other internal audits as appropriate.
• Identify relevant areas for staff trading and participate in delivery of training.

Technical Skill Requirements:
Must be technically competent and able to work independently in the following systems:

• MS Word
• MS Excel
• MS PowerPoint or other presentation-specific software
• Bloomberg, and other compliance systems
• Satuit or other CRM
• Any other systems or programs that may be deemed necessary

Teamwork:

• Be professional and courteous
• Collaborate effectively and with team members, other employees and other teams
• Willingly help co-workers and share job and /or business/systems knowledge
• Help provide coverage during absence of team members
• Participate in and actively contribute to special projects when asked / volunteer
• Take a proactive position in offering suggestions to enhance efficiency, quality and productivity.
• Actively participate in team and company meetings
• Actively introduce ideas, alternatives and solutions to challenges that arise
• Provide accurate and timely response to internal and external clients
• Willingly participate in company-sponsored training

Professional and Educational Requirements:

• BA/BS degree
• A minimum three to five years of relevant experience as a compliance and/or risk officer
• Excellent verbal and written communication skills
• Strong working knowledge of IA regulations, including the Advisers Act, Investment Company Act, FINRA and ERISA
• Working knowledge of Bloomberg and/or other order management and compliance systems is preferable
• Attention to detail, diligence and strong organizational skills are critical
• This position requires a minimum of 40 hours a week (minimum eight hours a day) and is exempt for purposes of calculating overtime pay. Regular attendance and punctuality are required.

Dwight offers a competitive compensation and benefit package. Find out more about the company at www.dwight.com.

Management reserves the right to modify this job description and reassign job duties in its sole discretion at any time.

Please direct resumes to jobs@dwight.com

Posted: 03/10

Job overview:
The primary responsibility of the Fixed Income Product Specialist is to provide fixed income product expertise to multiple constituents firm-wide. This role is responsible for representing Dwight's investment management professionals in client and prospect presentations, conference calls and seminars. This individual will work extensively and directly with the investment, client relationship, and consultant relationship teams.

Interface with investment team to understand Dwight's strategy offerings in order to maintain and help advance the firm's competitive position. Provide strategic recommendations for new products. Serve as feedback mechanism from the marketplace to the investment process.

Specific Responsibilities

• Assist Client Service professionals and Consultant Relations team with fixed income representation at existing and prospective client meetings
• Assume responsibility for content development of fixed income communications for the firm, including:
  • fixed income marketing and presentation material
  • periodic client/consultant communications
  • Quarterly Client/Consultant Update
  • fixed income quarterly reporting content, including collective fund updates
• Assist Institutional team to develop materials across client/consultant segments
• Represent the firm as public speaker on fixed income topics
• Lead competitive analysis of Dwight's strategies and market positioning vs. its peers/competitors on a quarterly and annual basis; includes development of themes, metrics and supporting materials to effectively position our strategies in the marketplace
• Assist in the oversight of external investment managers, through participation at offsite due diligence meetings
• Assume responsibility for development (and periodic review) of RFP/RFI responses to best reflect positioning of Dwight's fixed income products in the marketplace
• As requested, facilitate or sponsor product development (e.g. LDI, Retirement Income)

Technical Skill Requirements:
Must be technically competent and able to work independently in the following systems:

• MS Word
• MS Excel
• Bloomberg
• Satuit (or other CRM)
• Outlook (or other email)
• Internet
• Any other systems or programs that may be deemed necessary to fulfill job description

Teamwork:

• Must be professional and courteous.
• Collaborate effectively and courteously with team members, other employees and other teams.
• Willingly help co-workers and share job and /or business/systems knowledge.
• Help provide coverage during absence of co-workers.
• Participate in and actively contribute to special projects when asked / volunteered.
• Take a proactive position in offering suggestions to enhance efficiency, quality and productivity.
• Actively participate in team and company meetings.
• Actively introduce ideas, alternatives and solutions to challenges that arise.
• Provide accurate and timely information to internal and external clients.
• Willingly participate in company-sponsored training.

Professional and Educational Requirements:

• BA/BS degree
• MBA degree or CFA designation (10 years of financial markets experience may be substituted for advanced degree/designation)
• Excellent verbal and written communication skills
• Excellent presentation skills, including ability to speak effectively to large groups
• Strong knowledge of the economy and the financial markets, with particular emphasis on fixed income
• Effective sales and negotiation skills; ability to sell the firm's products/services successfully to existing clients; negotiate contracts/investment management agreements/fees, etc.
• This position requires a minimum of 40 hours per week (minimum eight hours a day) and is exempt for purposes of calculating overtime pay. Regular attendance and punctuality are required.

Fixed Income Product Specialist reports directly to the Head of Institutional Management.

Management reserves the right to modify this job description and reassign job duties in its sole discretion at any time.

Please direct resumes to jobs@dwight.com

Posted: 11/09