6 часов назад
Regional Investment Compliance Officer
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
Regional Investment Compliance Officer (Investment Compliance/Asset Management): Monitoring pre- and post-trade investment compliance across Americas portfolios with an accent on regulatory restrictions, alert validation, and clear audit documentation. Focus on analyzing mandates and prospectuses, testing compliance rules, investigating exceptions, and coordinating investment compliance activities across regional and global teams.
Location: Atlanta, Georgia, United States. Hybrid workplace model with at least four full days each week working in an office.
Company
is a global investment management firm with more than $2 trillion in assets under management, operations across 26 countries, and over 8,400 employees.
What you will do
- Validate pre-trade alerts and provide second-line challenge in order management and compliance monitoring systems.
- Review post-trade monitoring outputs, assess alerts, perform root-cause analysis, and document compliance exceptions.
- Analyze client mandates, prospectuses, and regulatory requirements to identify investment restrictions.
- Support rule testing, investment restriction workflows, breach investigations, audit trails, and regulatory change initiatives.
- Collaborate with Americas investment and trading teams, offshore support teams, and global stakeholders across EMEA, APAC, and Hyderabad.
- Identify improvements to processes, data quality, and monitoring efficiency.
Requirements
- 2–4 years of relevant experience in investment compliance, compliance monitoring, audit, assurance, or a similar control function.
- Experience working with investment or trading teams and a good understanding of investment management processes, portfolio construction, and trading activity.
- Knowledge of asset management, regulatory environments, investment products, and strategies across the Americas region.
- Understanding of investment restrictions and regulatory frameworks across jurisdictions; knowledge of 40 Act requirements is desirable.
- Strong analytical judgment, attention to detail, prioritization, written and verbal communication, and documentation skills.
- Clear written and verbal communication skills in English and the ability to collaborate across global teams.
Nice to have
- Experience with investment compliance monitoring.
- Hands-on experience with Aladdin, CRIMS, Charles River, Bloomberg, or equivalent compliance monitoring platforms.
- Interest in using AI tools to improve processes and create efficiencies.
Culture & Benefits
- Hybrid work schedule governed by the firm’s workplace policy.
- Flexible paid time off and parental leave benefits.
- Health and wellbeing benefits.
- 401(k) matching of 100% up to the first 6%, with a discretionary supplemental contribution.
- Employee stock purchase plan.
- Collaborative work with regional and global investment compliance teams.
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