AVP Investment Compliance Officer
Core
Monitor client portfolios for compliance with regulatory requirements and investment guidelines, design surveillance tools, and advise investment professionals on fiduciary obligations and restrictions.
Role type
Senior IC investment compliance officer (portfolio surveillance & policy)
Builds
Automated compliance monitoring tools, surveillance processes, and client reporting for investment portfolios
Domain
Asset management / Investment compliance
Deliverable
production ML models | product features | dashboards & analysis
Required skills
Portfolio compliance surveillance, automated rule coding, securities law interpretation, cross-functional stakeholder management, compliance policy development, regulatory change management, vendor partnership, team mentorship
Preferred skills
Global regulatory framework knowledge (EU, UK, HK, etc.), advanced Excel proficiency, strategic project leadership
Technologies
BlackRock Aladdin, Bloomberg AIM, Excel
Responsibilities
Lead pre-trade and post-trade portfolio compliance surveillance; Design and enhance compliance monitoring tools and processes; Investigate and resolve compliance exceptions and guideline breaches; Develop and test compliance policies and controls; Advise investment professionals on regulatory and client-specific guidelines; Mentor junior compliance professionals
Seniority
Senior, hands-on IC with mentorship responsibilities