Associate Director, Investment And Trading Compliance

Overview

• Serve as a compliance expert for investment and trading activities within a dynamic asset management environment.
• Collaborate with cross-functional teams including trading desks, legal, and technology departments.
• Ensure adherence to client guidelines, internal policies, and regulatory requirements.
• Perform forensic testing and regulatory reporting for proprietary mutual funds and investment advisers.
• Develop and maintain compliance documentation, policies, and procedural guidelines.
• Support client reporting requests and prepare regulatory filings, including section 13 filings.
• Monitor manual rules for client account restrictions based on risk assessments.
• Identify process improvement opportunities and collaborate with technology teams for implementation.
• Participate in special compliance-related projects to enhance operational efficiency.

Key Responsibilities & Duties

• Evaluate and resolve pre-trade and post-trade compliance alerts autonomously.
• Review daily compliance and trading reports, ensuring accuracy and resolution of discrepancies.
• Prepare and finalize regulatory filings, including foreign ownership disclosures.
• Collaborate with relationship management, compliance, and IT teams for client reporting.
• Maintain and update team documents, including policies and procedural checklists.
• Perform reconciliation projects to ensure system synchronization.
• Monitor manual rules for client account restrictions and ensure compliance.
• Identify and implement process improvements in compliance programs.
• Undertake special projects related to compliance as assigned.

Job Requirements

• Bachelor’s degree in a relevant field with at least 5 years of experience in asset management compliance.
• Solid knowledge of capital markets, including fixed income, equity, and derivatives.
• Understanding of regulatory acts such as the Investment Advisers Act and the Securities Exchange Act.
• Proficiency in Bloomberg and major software applications; SIE & Series 7 preferred.
• Strong analytical, organizational, and time management skills with attention to detail.
• Excellent verbal and written communication skills; ability to work independently and collaboratively.
• Experience with foreign regulations and compliance reporting highly desirable.
• Ability to prioritize multiple requests and meet deadlines in a fast-paced environment.
• Self-starter with initiative and a team-focused mindset.