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Investments 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
- Knowledge of domestic and international securities law i.e. 1940 act, UCITS Framework, 81-102 and 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 improvementsanalytical skillsdecision-makingdocumentation of compliance violationstesting investment ideasproduct launches
Soft Skills
customer service orientationconsultative approachteamworkinterpersonal skillseffective communicationorganizational skillsability to manage prioritiesability to meet deadlines