Senior Compliance Officer
Softcard (acquired by Google)
full-time
Posted on:
Location Type: Hybrid
Location: Atlanta • New York • Texas • United States
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Salary
💰 $110,000 - $125,000 per year
Job Level
About the role
- Review compliance exceptions promptly within established timelines, providing subject matter expertise and communicating critical information to investment and trading personnel.
- Analyze compliance alerts using knowledge of investment guidelines, regulations, compliance systems, and internal policies to deliver accurate and timely decisions.
- Ensure decisions maintain high accuracy to prevent violations of client prospectus, regulatory, and internal guidelines, as well as operational errors.
- Coordinate communication, resolution, and documentation of compliance violations with internal parties following established procedures.
- Assist fixed income investment and trading personnel with critical, time-sensitive questions and requests related to investment restrictions at portfolio and firmwide levels.
- Conduct test trades for new investment ideas and instruments to ensure compliance with applicable restrictions.
- Identify potential gaps in monitoring processes and propose practical process improvement solutions.
- Present complex information clearly and professionally through written materials or presentations to diverse audiences.
Requirements
- Bachelor’s degree in a related field such as accounting, finance, or a similar discipline.
- Minimum of 4 years of relevant work experience in financial services, preferably within asset management.
- Sound knowledge of investments, investment management industry, and in-depth investment/securities knowledge.
- Familiarity with domestic and international securities laws (e.g., 1940 Act, UCITS Framework, 81-102).
- Prior experience with trading/compliance systems such as Aladdin or Charles River preferred.
- Strong analytical, quantitative, and problem-solving skills with the ability to make critical, time-sensitive decisions.
- Excellent interpersonal, communication (written and oral), and organizational skills with the ability to manage competing priorities.
- Ability to work independently under pressure while maintaining a strong customer service orientation and collaborative team approach.
Benefits
- 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
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
compliance analysisinvestment guidelinesregulationscompliance systemstest tradesprocess improvementquantitative analysisproblem-solvingdecision-making
Soft Skills
interpersonal skillscommunication skillsorganizational skillscustomer service orientationcollaborative team approachability to work independentlyability to manage competing priorities