Manager-Investment Compliance
Core
Leading investment compliance operations to ensure portfolios meet guidelines, regulations, and internal policies across funds and separate accounts.
Role type
Manager, Investment Compliance
Builds
Compliance monitoring, breach remediation, and regulatory reporting for investment portfolios
Domain
Asset Management / Investment Compliance
Deliverable
client delivery
Required skills
Investment compliance operations, team leadership and mentorship, regulatory interpretation (Investment Company Act of 1940, Advisers Act), breach analysis and remediation, board reporting, process improvement, multi-asset strategy knowledge
Preferred skills
Experience with Aladdin or Charles River systems, training investment teams and trading desks
Technologies
Aladdin, Charles River
Responsibilities
Lead pre- and post-trade portfolio compliance monitoring; manage, mentor, and develop a team of compliance professionals; interpret investment guidelines for funds and separate accounts; monitor portfolio adherence to mandates and regulations; manage breach escalation, analysis, and remediation; support board reporting and regulatory examinations; advise on new product launches and onboarding; enhance compliance systems and data quality; drive process improvements and standardization
Seniority
Manager, people leadership