Conning’s Risk Management Group provides compliance oversight and surveillance for the entire investment management process. This monitoring includes portfolio-level constraints arising both from statutory and regulatory restrictions and from internal objectives and guidelines. Conning Compliance analysts also produce relevant disclosures to clients regarding portfolio compliance status, address firm-wide risk exposures, provide audit support and develop solutions to compliance-related business challenges for clients.
Our objectives are to avoid occurrences of compliance breaches, detect quickly those that do occur and mitigate their impact through appropriate action.
Compliance with client investment guidelines and regulations is reviewed continuously.
- Pre- and post-trade checks for every transaction at the trade desk through customized electronic trade programs
- Next-day review by traders, portfolio managers and risk managers
- Monthly verification, documentation and communication of any compliance exposures
Portfolio vital statistics such as duration, yield curve positioning and sector allocations, and exposure to specific credits contribute to the overall risk position. These attributes are measured against appropriate benchmarks and relevant operating targets.
Risk Management & Compliance
Objectives
- Avoidance
- Detection
- Mitigation
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Process
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Senior Management oversight consists of review and daily sign-off by Conning’s Head of Risk Management, Chief Investment Officer, Portfolio Compliance supervisors and Portfolio Management supervisors.
To learn more about Conning’s comprehensive investment services, please contact us.
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