Senior Compliance Officer, Investment Compliance

📋 Description

• Review and interpret account governing documents, including investment management agreements
• Interpret client guidelines and regulatory requirements and translate them into effective automated
• Support the onboarding of new accounts and implementation of new or amended investment guidelines
• Serve as a subject-matter expert for CRIMS, including creating, testing, documenting, maintaining
• Maintain the accuracy and completeness of client portfolio guidelines, restriction lists, and
• Perform trade compliance monitoring, including reviewing alerts, trade overrides, potential

🎯 Requirements

• Bachelor’s degree and 10+ years of relevant investment management experience, including experience
• Significant hands-on experience interpreting investment guidelines and designing, implementing
• Thorough understanding of the trade order lifecycle and pre- and post-trade compliance monitoring.
• Knowledge of U.S. investment management regulation, including the Investment Advisers Act of 1940
• Strong analytical and data-management skills, including proficiency in Excel and experience
• Excellent organizational skills and demonstrated ability to manage competing priorities in a

🎁 Benefits

• Medical, prescription drug, dental and vision insurance
• Paid time off
• Profit sharing plan
• 401k plan
• Tuition reimbursement
• Commuter and holistic wellness benefits