Senior Manager, Investment Compliance
Core
Lead the strategic direction, governance framework, and execution oversight of compliance monitoring activities within the firm's Investment Compliance monitoring system to ensure portfolios are managed in accordance with regulatory and internal restrictions.
Role type
Senior Manager, Investment Compliance
Builds
Scalable, risk-based monitoring practices and automated compliance controls for global investment portfolios.
Domain
Asset Management / Investment Compliance
Deliverable
production ML models | dashboards & analysis | infrastructure
Required skills
Strategic planning, governance framework design, risk assessment, process improvement, cross-functional leadership, regulatory interpretation, team development, vendor oversight, automation strategy, data-driven insights
Preferred skills
Charles River (CRD) platform experience, investment product knowledge (equities, fixed income, derivatives), complex cross-functional initiative leadership, process transformation in risk-controlled environments, analytical research, problem-solving
Technologies
Charles River (CRD)
Responsibilities
Lead execution and oversight of pre-trade, post-trade, and batch compliance monitoring; serve as subject matter expert on complex compliance guideline interpretations; own governance and risk assessment of manual monitoring processes; manage identification, escalation, and resolution of compliance violations; partner to refine the rule library and monitoring framework; lead automation and innovation initiatives including AI-enabled tools; drive strategic roadmap for process improvement and rule optimization; lead complex cross-functional initiatives affecting Monitoring; direct responses to regulatory changes and new investment products; establish standards for documentation and control design; lead and develop team members; provide oversight of outsourced monitoring activities; drive alignment across global teams.
Seniority
Senior Manager, hands-on leadership with team development