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Compliance Officer
Softcard (acquired by Google). Review and resolve compliance exceptions promptly, providing subject matter expertise to investment and trading teams.
About the role
Key responsibilities & impact- 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.
Requirements
What you’ll need- Bachelor’s degree in a related field
- 3+ years of experience in the asset management industry
- FINRA Series 6 or 7 preferred
- Knowledge of domestic and international securities law i.e. 1940 act, UCITS Framework, 81-102
- Prior experience with trading/compliance systems such as Aladdin, Charles River preferred
- Strong customer service orientation applies consultative approach to interacting with peers and business partners.
- Team worker who must be able to build working relationships and interact with a diverse group of internal contacts.
- Strong interpersonal skills, effective written and oral communications.
- Excellent organizational skills, ability to manage competing priorities and deadlines.
- Proven analytical skills and ability to make critical, time sensitive decisions.
Benefits
Comp & perks- Flexible paid time off
- Hybrid work schedule
- 401(K) matching of 100% up to the first 6% with a discretionary supplemental contribution
- Health & wellbeing benefits
- Parental Leave benefits
- Employee stock purchase plan
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
compliance analysisinvestment guidelinesregulatory complianceprocess improvementanalytical skillsdecision-making
Soft Skills
customer service orientationconsultative approachteamworkinterpersonal skillswritten communicationoral communicationorganizational skillstime management
Certifications
Bachelor’s degreeFINRA Series 6FINRA Series 7