Director, Asset Management Compliance
About The Position
The Role Managing and overseeing a team of individuals responsible for pre-trade and post trade compliance monitoring which spans across all product types Providing strategic direction to meet both the team’s and organization’s goals Educating portfolio managers and traders on applicable fund/account guidelines and trading policies; and implementing effective mechanisms to provide timely reporting Communicating client, regulatory, prospectus, Board, and internal policies to portfolio managers and traders Providing AMC senior management with information on current trends and issues recognized during assignments and providing solutions Solving business problems with a focus on process improvements and automation Leading business initiatives and projects
Requirements
- Bachelor’s degree and typically 10+ 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
- Managing and overseeing a team of individuals responsible for pre-trade and post trade compliance monitoring which spans across all product types
- Providing strategic direction to meet both the team’s and organization’s goals
- Educating portfolio managers and traders on applicable fund/account guidelines and trading policies; and implementing effective mechanisms to provide timely reporting
- Communicating client, regulatory, prospectus, Board, and internal policies to portfolio managers and traders
- Providing AMC senior management with information on current trends and issues recognized during assignments and providing solutions
- Solving business problems with a focus on process improvements and automation
- Leading business initiatives and projects
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What This Job Offers
Job Type
Full-time
Career Level
Director
