Associate Director, Investment And Trading Compliance

Overview

• Lead compliance efforts in investment and trading activities within a dynamic asset management environment, ensuring regulatory adherence and operational excellence.
• Collaborate with trading desks, legal, and technology teams to optimize compliance processes and address regulatory challenges effectively.
• Develop and maintain comprehensive compliance documentation, policies, and procedural guidelines to support organizational goals.
• Conduct forensic testing and regulatory reporting for proprietary mutual funds and investment advisers, ensuring accuracy and compliance.
• Support client reporting requests and prepare regulatory filings, including section 13 filings, to meet industry standards.
• Identify and implement process improvement opportunities in compliance programs, collaborating with technology teams for execution.
• Monitor manual rules for client account restrictions based on risk assessments, ensuring adherence to guidelines.
• Participate in special compliance-related projects to enhance operational efficiency and regulatory adherence.

Key Responsibilities & Duties

• Evaluate and resolve pre-trade and post-trade compliance alerts autonomously, ensuring prompt and effective resolution.
• Review daily compliance and trading reports, ensuring accuracy and addressing discrepancies proactively.
• Prepare and finalize regulatory filings, including foreign ownership disclosures, to maintain compliance standards.
• Collaborate with relationship management, compliance, and IT teams to support client reporting and regulatory requirements.
• Maintain and update team documents, including policies and procedural checklists, ensuring alignment with industry standards.
• Perform reconciliation projects to ensure system synchronization and compliance accuracy.
• Monitor manual rules for client account restrictions, ensuring adherence to compliance guidelines.
• Identify and implement process improvements in compliance programs, enhancing operational efficiency and regulatory adherence.
• Undertake special projects related to compliance as assigned, contributing to organizational success.

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, with a focus on compliance.
• 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 certifications preferred.
• Strong analytical, organizational, and time management skills with exceptional attention to detail.
• Excellent verbal and written communication skills; ability to work independently and collaboratively.
• Experience with foreign regulations and compliance reporting highly desirable for this role.
• Ability to prioritize multiple requests and meet deadlines in a fast-paced environment.
• Self-starter with initiative and a team-focused mindset, committed to achieving organizational goals.