Manager-Investment Compliance
About The Position
The U.S. Investment Compliance team ensures portfolios meet investment guidelines, regulatory requirements, and internal policies across registered funds and separate accounts. The team partners closely with Investment Management, Legal, Operations, and Technology to maintain a strong control environment. The Manager – Investment Compliance is responsible for leading and developing a team of investment compliance professionals. You will foster a collaborative, high-performing environment, provide coaching and mentorship, and help build team capabilities while driving consistency and accountability across compliance activities.
Requirements
- 10+ years in investment or portfolio compliance
- Knowledge of Investment Company Act of 1940 and Advisers Act
- Demonstrated experience leading and developing teams in a people leadership role while overseeing day-to-day compliance operations
- Experience with regulatory exams and board reporting
- Experience with Aladdin, Charles River or similar systems
- Knowledge of multi-asset strategies and financial instruments
- Strong collaboration with cross-functional stakeholders
- Ability to develop, coach, and inspire team members
- Ability to drive process and system improvements
Responsibilities
- Lead pre- and post-trade portfolio compliance monitoring
- Manage, mentor, and develop a team of compliance professionals, providing day-to-day guidance and performance coaching
- Interpret investment guidelines for funds and separate accounts
- Monitor portfolio adherence to mandates and regulations
- Manage breach escalation, analysis, and remediation
- Support board reporting and regulatory examinations
- Advise on new product launches and onboarding
- Enhance compliance systems and data quality
- Drive process improvements and standardization
- Build team capabilities by identifying development opportunities and strengthening bench strength
- Train and advise investment teams and trading desks
- Create a strong team culture that promotes accountability, collaboration, and continuous improvement across stakeholders
Benefits
- Annual discretionary bonus
- 401(k) plan with a generous match
- Recognition rewards
- Competitive healthcare options
- Insurance
- Disability benefits
- Employee stock investment program
- Learning resources
- Career development programs
- Reimbursement for certain education expenses
- Paid time off (vacation / holidays / sick / leave / parental & caregiving leave / bereavement / volunteering / floating holidays)
- Motivational wellbeing program
- Three weeks of PTO in your first year
- Competitive medical, dental, and vision insurance
- 401(k) plan with an 85% company match on pre-tax and/or Roth contributions, up to IRS limits
- Employee Stock Investment Plan (ESIP) with discounted share purchase opportunities
- Learning Education Assistance Program (LEAP)
- Opportunity to purchase company funds with no sales charge
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
