Compliance Manager - SMA / Managed Accounts

GWP • Denver, CO

80d • $100,000 - $125,000 • Hybrid

About The Position

This role is responsible for reviewing and monitoring SMA portfolios for compliance with client-specific and firm-wide guidelines and restrictions. The Compliance Manager will support pre-trade and post-trade compliance monitoring processes, investigate guideline breaches, and review Investment Management Agreements (IMAs), IPS documents, and client handbooks. The position also involves assisting with client onboarding, conducting periodic testing, advising on new products, and developing/implementing policies and procedures to manage regulatory, compliance, and reputational risks for the SMA/Model business. The role requires staying informed about regulatory changes and providing compliance training.

Requirements

• At least 7 years of experience in investment management or advisory compliance
• Direct experience with SMA structures, portfolio guidelines, or wealth management platforms preferred
• Knowledge of Advisers Act of 1940, fiduciary standards, and custodian requirements
• Understanding of current and proposed regulatory requirements impacting advisory services (e.g., SMAs) industry a plus.
• Familiarity with trading/compliance systems (e.g., Archer, Charles River, Aladdin)
• Strong documentation, analytical, and cross-functional communication skills
• Willingness to adhere to the provisions of our Investment Advisory Code of Ethics related to personal securities activities and other disclosure and certification requirements, including past political contributions and political activities.
• Understanding of the regulatory obligations of the firm, and abide by the regulated entity requirements and JHI policies applicable for your role.

Nice To Haves

• Direct experience with SMA structures, portfolio guidelines, or wealth management platforms
• Understanding of current and proposed regulatory requirements impacting advisory services (e.g., SMAs) industry

Responsibilities

• Review and monitor SMA portfolios for compliance with client-specific and firm-wide guidelines and restrictions.
• Support pre-trade and post-trade compliance monitoring processes.
• Provide compliance support to portfolio management and trading.
• Investigate, document, and escalate guideline breaches and compliance exceptions.
• Review and interpret Investment Management Agreements (IMAs), IPS documents, and client handbooks.
• Assist with compliance-related client onboarding processes and procedures.
• Conduct periodic testing and compliance reviews in the SMA and Models business and present key trends and observations.
• Advise on new products, highlighting potential compliance issues.
• Partner with relevant departments to resolve compliance issues.
• Assist with regulatory exams, internal audits, and requests related to SMA programs.
• Develop, implement, and maintain policies, procedures, and processes to address key regulatory, compliance, and reputational risk areas for the SMA/Model business.
• Support policy updates related to Rule 3a-4, the Advisers Act, fiduciary duties, best execution, and suitability standards for SMA/Model business.
• Review and maintain external disclosures and content related to the SMA business.
• Build and maintain relationships with senior management across the business and within Compliance globally.
• Keep informed of regulatory changes impactful to the SMA/Model business, trends, and focus within the industry and assist with assessing impact to the firm.
• Provide periodic Compliance training to employees as needed.
• Carry out additional duties as assigned.

Benefits

• Hybrid working and reasonable accommodations
• Generous Holiday policies
• Paid volunteer time
• Support to grow through professional development courses, tuition/qualification reimbursement and more
• Maternal/paternal leave benefits and family services
• Complimentary subscription to Headspace – the mindfulness app
• Corporate membership to ClassPass and other health and well-being benefits
• Unique employee events and programs
• Complimentary beverages, snacks and all employee Happy Hours
• Mentoring
• Leadership development programs
• Regular training
• Career development services
• Continuing education courses
• Annual Bonus Opportunity
• Competitive compensation
• Pension/retirement plans
• Various health, wellbeing and lifestyle benefits

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: No Education Listed