Compliance Officer
Core
Regional Investment Compliance Officer ensuring compliance with regulatory and operational investment restrictions across the Americas.
Role type
Senior IC investment compliance officer
Builds
Investment compliance monitoring framework and audit trails for global investment strategies
Domain
Asset management / Financial services / Regulatory compliance
Required skills
Investment compliance monitoring, Pre-trade alert validation, Post-trade batch monitoring, Rule testing and validation, Regulatory framework analysis, Audit trail maintenance, Investment restriction identification, Stakeholder collaboration
Preferred skills
Asset management processes knowledge, Trading activity understanding, Order management systems proficiency, AI tool utilization
Technologies
Aladdin, CRIMS, Charles River, Bloomberg
Responsibilities
Validate pre-trade alerts and provide second line challenge, Oversee post-trade batch monitoring and root cause analysis, Support investment restriction workflows, Analyze client mandates and regulatory requirements, Participate in rule testing and validation, Maintain accurate audit trails for compliance exceptions and breaches
Seniority
Mid-level, hands-on IC