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 the Asset Management business.
Role type
Senior leadership IC (Head of Investment Compliance)
Builds
Scalable compliance monitoring and coding function (e.g., Aladdin ecosystem), robust breach management workflows, and governance reporting.
Domain
Asset Management / Investment Compliance
Required skills
Investment compliance domain expertise, mandate interpretation, rule coding and taxonomy design, pre- and post-trade monitoring, breach investigation and root-cause analysis, market abuse regulation knowledge, regulatory change management, technology strategy (Aladdin, MAST), stakeholder leadership, team management.
Preferred skills
Experience with complex instruments (derivatives, structured products, private assets), ESG/sustainability constraints, Power BI, data lineage and quality controls.
Technologies
Aladdin, MAST, Power BI
Responsibilities
Set multi-year strategy and roadmap for Investment Compliance; oversee fund/portfolio onboarding and mandate change implementation; manage operational performance of pre- and post-trade monitoring; lead breach investigation and closure; oversee market abuse monitoring outcomes; serve as primary contact for audits and regulatory change; drive technology improvements and automation; lead and develop the compliance team.
Seniority
Senior, hands-on IC with leadership responsibilities