Joshua Silber
- Role
- Vice President - Guideline Monitoring Compliace Analyst at Citi
- Location
- West Hempstead, NY, US
- LinkedIn followers
- 500 followers
Experience
Vice President - Guideline Monitoring Compliace Analyst
Jan 2022 — Present
Fiduciary Oversight Officer responsible for the day to day rules monitoring of Citi Investment Management’s Multi Asset Class Solutions and Alternatives Solutions Programs, working closely with Portfolio and Senior Management to ensure timely escalation and resolution of issues. DAILY RESPONSIBILITIES Responsible for day to day fiduciary oversight of Analyze alerts daily generated due to either active or passive violations of Client or Business imposed guidelines. Compile material for quarterly Fiduciary Review Committee meetings with senior management. Led discussions on open violations, frozen accounts, high cash balances, breaches and errors and client complaints. Build various concentration and exclusion rules in the Charles River monitoring system based on client and business instructions. Update portfolio allocations on Charles River as directed by the Portfolio Management team. Track the onboarding of offshore and onshore funds and escalates any issues to relevant parties. SPECIAL PROJECTS Constructed a process with the Portfolio Management Team to monitor the redemption of hedge funds in managed accounts and to ensure redemption proceeds are handled appropriately. Developed a process to track accounts with Reg T violations, sent weekly to Supervisory Principals in order to reduce occurrences of 90 day restrictions. Created a fee reconciliation process to ensure that all Citi Private Bank managed accounts are appropriately billed. Streamlined the monitoring of cash, equity and fixed income in Charles River by working with technology on a feed from APL, which contains full sleeve level data. Improved operational efficiencies and assisted new staff by documenting existing processes. Worked with technology to facilitate the onboarding of new products.
Skills
- Fixed Income
- Investments
- Microsoft Excel
- Acats
- Microsoft Word
- Mutual Funds
- Financial Services
- Securities
- Dtc
- Tax Forms
- Entitlement
- Fund Accounting
- Auditing
- Business Recovery Planning
- Vlookup
- Entitlements
- Private Equity
- Pivot Tables
- Unified Managed Accounts
- Error Correction
- Microsoft Office
- Security Operations
- Cash Operations
- Separately Managed Accounts
- Hedge Funds
- Stocks
- Series 7
- Finance
- Accounting
- Procedures Documentation
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