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About the role
Key responsibilities & impact- Supervises, develops, maintains, and measures investment compliance policies, procedures, and controls.
- Administers annual certifications, brokerage account reporting, conflict disclosures, regulatory reporting and employee attestations.
- Manages critical compliance related ad-hoc and special projects from inception to implementation.
- Monitors regulatory developments and researches industry changes, trends, and best practices to recommend new or revised procedures as necessary.
- Monitors client portfolios for compliance with investment policy and statutory investment limits.
- Reports routine and complex compliance exceptions and materials to senior leadership.
Requirements
What you’ll need- 7+ years of experience in investment compliance, including policy development, monitoring, regulatory reporting, and risk assessment.
- Compliance, Compliance Frameworks, Compliance Policies, Compliance Programs skills.
Benefits
Comp & perks- Comprehensive technology setup, including a laptop, monitors, headset, keyboard, and mouse.
- Monthly connectivity reimbursement to help offset internet costs.
- Ability to work from home with a dedicated, private workspace free from distractions.
ATS Keywords
✓ Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
investment compliancepolicy developmentregulatory reportingrisk assessmentmonitoringcompliance frameworkscompliance policiescompliance programs
Soft Skills
supervisiondevelopmentmeasurementproject managementresearchrecommendationreporting