Senior Portfolio Compliance

Responsibilities

• Lead a team responsible for ensuring that proposed trades are in compliance with applicable investment guidelines set forth by client contracts, offering memorandums and applicable regulations.
• Partner with our portfolio management team, investment services team, client relationship team and legal teams to draft and negotiate investment guidelines with clients, taking into account client objectives, the firm’s investment process, operational capabilities and other internal requirements.
• Initiate and lead efforts to identify, test and implement systematic enhancements to existing workflows.
• Support new investment initiatives and compliance with regulatory changes by identifying, testing and implementing automated solutions to address new operational requirements.
• Analyze client guidelines and restrictions in support of new portfolio management initiatives.
• Oversee the proper set-up of client guidelines and client restrictions within the compliance system.
• Oversee the analysis and resolution daily portfolio compliance alerts and warning reports.
• Oversee portfolio rebalance sessions.
• Communicate with clients and internal senior audiences on investment guideline related matters.

Qualifications

• 10+ years of experience in the asset management industry, preferably at an established investment manager, with at least 5 years of experience in portfolio guideline compliance.
• Experience leading teams and large-scale projects, including projects related to third-party compliance systems.
• Demonstrated experience communicating and collaborating with clients on investment guideline related matters.
• Ability to thrive in a dynamic, fast-paced environment and prioritize under tight deadlines.
• Self-starter that works proactively and thinks both strategically and tactically.
• Demonstrated ability to identify, design and implement improvements to existing processes and procedures with a keen interest in the use of technology, including as it relates to leveraging AI.
• Strong analytical and organizational skills.
• Effectively collaborates across teams/functions.
• Excellent communication skills – oral and written.
• Comfortable communicating and collaborating directly with clients.
• Experience managing teams.

Pay

The base salary range for this position is $90,000 - $275,000 per year.