Senior Manager, Investment Compliance

Location: Baltimore, Maryland, United States. Hybrid work is available, with up to one day per week from home. Applicants must have US work authorization that does not now or in the future require visa sponsorship.

Base salary: $110,000–$188,000 for Maryland, Colorado, Washington, and remote workers; other ranges apply to Washington, D.C., New York, and California.

Company

Global asset management organization providing equity, fixed income, and multi-asset investment solutions to individuals, advisors, institutions, and retirement plan sponsors.

What you will do

• Lead pre-trade, post-trade, and batch compliance monitoring in Charles River (CRD).
• Advise Trading, Investment, Client, Legal, Risk, and Operations stakeholders on complex compliance guideline interpretations.
• Own governance and risk assessment for manual monitoring, including automation prioritization.
• Identify, escalate, and resolve compliance violations, including systemic issue analysis and remediation guidance.
• Drive rule library improvements, process optimization, AI-enabled monitoring tools, and data-driven strategic roadmaps.
• Lead cross-functional initiatives involving regulatory changes, new investment products, system enhancements, outsourced monitoring, and team development.

Requirements

• Bachelor’s degree or equivalent combination of education and relevant experience.
• 8+ years of relevant work experience.
• Experience with trading, order management, and compliance systems; Charles River or similar platforms preferred.
• Strong understanding of equities, fixed income, and derivatives.
• Experience leading teams or functional areas within Investment Compliance.
• US work authorization without current or future visa sponsorship requirement. FINRA licenses are not required and will not be supported.

Culture & Benefits

• Hybrid work schedule with up to one day per week from home.
• Annual bonus eligibility and competitive compensation.
• Retirement plan, health and wellness benefits, and online therapy.
• Paid time off for vacation, illness, medical appointments, and volunteering.
• Family care resources, including fertility and adoption benefits.
• Inclusive and collaborative work environment with opportunities for career development.