Director, Aggregate Monitoring
About The Position
Manage and oversee a team of individuals responsible for pre-trade and post-trade compliance monitoring which spans across all product types. Provide strategic direction to meet both the team’s and organization’s goals. Educate investment professionals on applicable firmwide compliance limits and implement effective mechanisms to provide timely reporting. Collaborate with business partners to lead business initiatives, resolve complex issues, and drive consensus to align with compliance requirements. Solve business and operational problems with a focus on process improvement and automation. Provide Asset Management Compliance senior leaders with information on current trends and issues recognized during assignments and recommend plans for improvement.
Requirements
- Bachelor’s degree and typically 10 plus years in the financial services industry, compliance, legal, risk, and/or audit experience
- Broad and deep experience in the area of investment compliance, investment support, or investment operations
- Strong leadership and talent development skills
- Exceptional relationship management, communication and influencing skills
- Independent thinker; accountable for and skilled in exercising sound judgment
- High degree of integrity and strong work ethic; orientation toward results; positive attitude
- Strong analytical, organizational, and problem solving skills
- Detail oriented with a focus on potential anomalies in trading and investment management behaviors
- Ability to explain complex regulatory and policy requirements to all levels of the organization
Responsibilities
- Manage and oversee a team of individuals responsible for pre-trade and post-trade compliance monitoring which spans across all product types
- Provide strategic direction to meet both the team’s and organization’s goals
- Educate investment professionals on applicable firmwide compliance limits and implement effective mechanisms to provide timely reporting
- Collaborate with business partners to lead business initiatives, resolve complex issues, and drive consensus to align with compliance requirements
- Solve business and operational problems with a focus on process improvement and automation
- Provide Asset Management Compliance senior leaders with information on current trends and issues recognized during assignments and recommend plans for improvement
Benefits
- comprehensive health care coverage
- emotional well-being support
- market-leading retirement
- generous paid time off
- parental leave
- charitable giving employee match program
- educational assistance including student loan repayment
- tuition reimbursement
- learning resources to develop your career
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What This Job Offers
Job Type
Full-time
Career Level
Director
