
Senior Investment Compliance Specialist
5 days ago
Job Summary:
We are seeking a seasoned Portfolio Manager to establish and enforce investment restrictions and limits in line with regulatory requirements and fund mandates. You will be responsible for resolving pre- and post-trade compliance exceptions, analyzing repetitive system alerts, and collaborating with various teams to ensure appropriate limit monitoring.
About the Role:
- Establish investment restrictions and limits according to regulatory requirements, fund mandates, and applicable policies.
- Resolve pre-trade and post-trade compliance exceptions generated by systems like Aladdin during the order management process.
- Maintain and enforce internal threshold limits according to applicable regulations and address various information requirements.
- Analyze and address any repetitive alerts or warnings generated by the system to assess the need for reassessment of internal thresholds.
- Collaborate with Portfolio Managers, Technology, and Compliance teams to ensure appropriate limit monitoring.
- Take an active role in ensuring the smoother onboarding of the monitoring framework.
Requirements:
- Proven experience in investment compliance and regulatory requirements.
- Strong analytical skills to analyze system alerts and resolve compliance exceptions.
- Excellent collaboration and communication skills to work with Portfolio Managers, Technology, and Compliance teams.
- Experience with an order management system like Aladdin is a plus.
- An active interest in system onboarding and framework implementation.
Qualifications:
- Bachelor's degree in Finance, Business, or a related field, or equivalent experience.
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