Compliance

• Review and resolve compliance exceptions promptly, providing subject matter expertise to investment and trading teams
• Analyze compliance alerts using knowledge of investment guidelines, regulations, systems, and data to support accurate decision-making
• Escalate critical issues to senior team members to prevent regulatory, client, or internal violations
• Serve as a key contact for fixed income teams, addressing time-sensitive compliance questions and requests
• Coordinate resolution and documentation of compliance violations across internal stakeholders
• Participate in testing new investment ideas and product launches to ensure regulatory compliance
• Identify and implement process improvements to enhance compliance operations and efficiency
• Represent compliance in cross-functional projects, staying informed of regulatory changes and contributing to strategic initiatives

Compliance Officer

Business Control Manager – Technology Risk & Regulatory Lead

Quality Specialist – Customer Compliance

GRC Services, Trust, Assurance Analyst

Compliance Analyst, MS

Team Lead – Architectural Drafting, Compliance Technician