Investment Compliance Manager

NISA Investment Advisors, LLC•Clayton, MO

1d•Onsite

About The Position

NISA Investment Advisors, LLC (NISA) offers customized investment solutions for tax-exempt and taxable institutional clients. NISA manages over $295 billion in fixed-income and equity securities and over $167 billion in derivative notional value. We seek bright, motivated individuals who can contribute to our growing team of professionals. Candidates with a high degree of independent thinking, strong analytical and quantitative skills, and team-playing abilities who desire to make a difference are encouraged to apply. As an Investment Compliance Manager, you will be responsible for understanding and testing NISA’s trading and investment processes for some of the largest asset owners in the world. Using NISA’s data and technology, you will play a critical role in managing and documenting compliance with NISA’s trading policies, including best execution and trade allocation. You will collaborate closely with the Portfolio Management Department and other stakeholders to develop deep knowledge of NISA’s trading processes and data flows. You will also manage the development and execution of trade surveillance testing to verify compliance with regulatory standards and internal policies. Working closely with NISA’s Risk Management Group, you will enhance controls and mitigate any identified process gaps.

Requirements

Bachelor's or master's degree in Mathematics, Statistics, Engineering, Finance or related field
Strong interest in financial markets and investment strategies
3+ years of experience in investment management industry
Experience with investment advisory software, including but not limited to, accounting systems, order management systems, FundApps, Bloomberg, etc.
Excellent analytical, communication, and problem-solving skills
Strong critical thinking and decision-making skills
Intellectual curiosity and willingness to learn

Nice To Haves

Professional certification (i.e., CFA, etc.) or advanced degree, or progression toward appropriate certification/degree is a plus

Responsibilities

Develop and execute testing across NISA’s trading processes, including documenting and summarizing results
Proactively identify compliance risks and implement corrective actions as necessary
Review and maintain trade error logs/forms
Assist with regulatory filings in various jurisdictions
Act as a liaison between the Compliance and Portfolio Management Departments
Participate in the continuous review and evaluation of the Compliance Program
Monitor the evolving investment and trading landscape, adapting the testing program as appropriate
Stay current with regulatory developments from the SEC and the CFTC/NFA