Buy Side Compliance

Responsibilities/Job Duties: 

• Drive all phases of the product development lifecycle, including development, engineering, guiding QA on test scenarios, and sales 
• Implement and improve areas such as surveillance and testing, drafting of policies, compliance-related documents, and reporting 
• Perform surveillance and testing associated with the firm’s compliance policies and procedures 
• Liaison with internal teams, including Legal and Marketing, to address regulatory matters 
• Identify and respond to business and regulatory changes and improvements 
• Assist in writing, reviewing, and testing compliance policies and procedures 
• Assist in external audits, regulatory examinations, and other compliance inquiries 
• Drive rollout of new functionality enhancements by engaging sales and clients directly 
• Maintain ongoing knowledge of industry regulations and trends that directly impact our clients and company 
• Produce and maintain documentation for internal and external stakeholders 

Qualifications: 

• Bachelor’s degree in relevant field required 
• Experience in buy side asset management 
• Experience in the financial services industry, with a focus on legal or compliance functions 
• Demonstrated knowledge of regulatory requirements 
• Strong background in strategies related to investment products 
• Exceptional written and verbal communication skills 
• Strong organizational skills and ability to effectively prioritize tasks 
• Ability to make quick and critical decisions 
• Proficiency in Microsoft Office, especially Word, PowerPoint, and Excel 
• Exceptional problem-solving skills and attention to detail