Manager, Investment Compliance
About The Position
This role is responsible for reviewing legal documents and implementing logic-based compliance rules into Charles River and Blackrock’s Aladdin for automated testing. The Manager will collaborate and consult with a wide range of internal stakeholders including Investments, Trading, Legal, Operations, ESG, Data and Client Services teams to ensure terms of contracts and agreements are accurately monitored within the investment management system. This position involves communicating effectively with internal business partners throughout the account onboarding process, discussing investment guidelines and compliance requirements, and advising on potential issues. The role is also responsible for monitoring and actioning ad-hoc requests, establishing new processes, solving complicated problems, and improving the daily guideline oversight monitoring process to reduce manual testing and increase efficiency. Ensuring timely and accurate completion of workloads, working with operational teams to address data exceptions, and preparing reporting documentation for Senior Management are key aspects of this role. The Manager will represent compliance interests in business projects and working groups, and contribute to the development of AI tools for the Global Guideline Implementation Team. Additional duties may be assigned.
Requirements
- A minimum of 5 years in the mutual fund or financial services industry
- Solid knowledge and understanding of the 1940 Act and other applicable SEC, CFTC and FINRA rules and regulations
- Advanced knowledge of compliance rule coding within an order management system such as: Charles River, Aladdin, Bloomberg AIM, or ThinkFolio
- Proficient user of the Microsoft Office suite of applications
- Basic/intermediate knowledge of Microsoft SQL (or a willingness to learn)
- Strong analytical skills, attention to detail and ability to exercise balanced judgment and decision making
- Solid understanding of equity and fixed income securities and derivatives products required
- High energy, positive demeanor, enthusiastic, professional, with a strong work ethic
- Pro-active and self-sufficient with ability to escalate where appropriate
- Strong interpersonal and stakeholder management skills
- Solid knowledge of fund management processes, instruments, products and funds
- Good planning, prioritization, problem solving, and organizational skills are essential
- Ability to work effectively under pressure and meet tight deadlines
- Bachelor’s degree or equivalent experience required; Finance, Economics or Accounting major preferred
Nice To Haves
- Experience working with a diverse range of investment products, including mutual funds and ETFs, separately managed accounts (SMAs), Collective Investment Trusts (CITs), private funds
- Experience with advanced coding utilizing software such as VBA, Python, Snowflake
Responsibilities
- Review legal documents and implement coding of logic-based compliance rules into Charles River and Blackrock’s Aladdin for automated testing
- Collaborate and consult with a wide range of internal stakeholders including Investments, Trading, Legal, Operations, ESG, Data and Client Services teams to ensure terms of the contracts and agreements can be accurately monitored within the investment management system
- Communicate timely and effectively with internal business partners throughout the account onboarding process to discuss investment guidelines and compliance requirements, and advise on any potential issues
- Responsible for monitoring and actioning ad-hoc requests received via Service Now
- Establish new processes as needed and provide solutions to complicated problems and be capable of presenting them in a clear and concise manner
- Work to improve the daily guideline oversight monitoring process to reduce manual testing and increase efficiency
- Ensure timely and accurate completion of assigned and delegated workloads
- Work with operational teams to address any challenges arising from data exceptions
- Prepare reporting documentation for review by Senior Management
- Represent compliance interests in business projects and working groups
- Contribute to the development of AI tools that can benefit the Global Guideline Implementation Team
- Carry out additional duties as assigned
Benefits
- Hybrid working and reasonable accommodations
- Generous Holiday policies
- Excellent Health and Wellbeing benefits including corporate membership to Wellhub
- Paid volunteer time to step away from your desk and into the community
- Support to grow through professional development courses, tuition/qualification reimbursement and more
- Maternal/paternal leave benefits and family services
- Unique employee events and programs including a 14er challenge
- Complimentary beverages, snacks and all employee Happy Hours
- Annual Bonus Opportunity
- competitive compensation
- pension/retirement plans
- various health, wellbeing and lifestyle benefits
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What This Job Offers
Job Type
Full-time
Career Level
Manager
