Head - Investment Compliance & Controls Monitoring
Core
Senior leadership role accountable for end-to-end investment compliance capability, including mandate interpretation, rule coding, pre- and post-trade monitoring, breach management, and market abuse monitoring for portfolios/funds.
Role type
Senior leadership IC (Head of Investment Compliance & Controls)
Builds
Scalable compliance monitoring and coding function (e.g., Aladdin ecosystem), robust breach management workflows, and governance reporting.
Domain
Asset Management / Investment Compliance
Deliverable
production ML models | product features | dashboards & analysis | client delivery | infrastructure
Required skills
Buy-side asset management domain depth, strategy and roadmap planning, mandate interpretation, rule taxonomy design, breach investigation and root-cause analysis, regulatory change management, technology transformation (automation, data quality), stakeholder influence, team leadership and talent development
Preferred skills
Experience with Aladdin and MAST tooling, ESG/sustainability constraints expertise, change agent capabilities
Technologies
Aladdin, MAST, Power BI
Responsibilities
Set multi-year strategy for investment compliance and controls monitoring; oversee fund onboarding and mandate change implementation; manage pre- and post-trade monitoring and breach resolution; lead market abuse monitoring; drive technology improvements and automation; partner with global stakeholders and internal teams; lead and develop the compliance team
Seniority
Senior, hands-on IC with leadership responsibilities