Our client is in search of an extraordinarily talented individual to join their Investment and Trading Compliance team. This role presents the chance to operate within a dynamic legal and regulatory environment, ensuring compliance with high ethical standards and fiduciary requirements. The successful candidate will have the opportunity to foster close working relationships with Portfolio Managers and Traders, providing clear, sound advice across all groups.
What you'll do:
As Vice President of Investment Management & Trading Compliance, your role will be instrumental in upholding the integrity of our client's operations. You will be responsible for monitoring adherence to various guidelines and statutory requirements for private funds, separately managed accounts, and registered products. Your ability to cultivate strong relationships with Portfolio Managers and Traders will be vital as you provide them with clear, sound advice. You will also play a significant role in coordinating ESG matters and implementing proxy voting policy. Your proactive approach will enable you to implement or refine monitoring measures that identify issues in real-time, assisting with their resolution. Furthermore, your expertise will be called upon as you draft or edit policies in response to business or regulatory changes.
• Monitor adherence to client guidelines, offering documents, internal parameters, and statutory requirements for private funds
• Develop a close working relationship with Portfolio Managers and Traders
• Research, interpret and advise teams about compliance with applicable investment and trading laws, regulations and guidance
• Coordinate with key stakeholders on ESG matters; assist in implementation of proxy voting policy
• Implement or refine monitoring measures to identify/address issues on a real-time basis and assist with resolution
• Draft/edit written policies and procedures to respond to business/regulatory changes or launch new business lines
• Respond to regulatory inquiries from US and foreign financial authorities
What you bring:
As the Vice President of Investment Management & Trading Compliance, you bring a wealth of experience in the financial sector. Your robust knowledge of equity and derivative instruments is complemented by your understanding of alternative investment strategies. You have a thorough understanding of market dynamics as well as applicable laws, rules, and regulations. Your advanced knowledge of guideline monitoring/surveillance software such as Bloomberg sets you apart. Moreover, your excellent communication skills enable you to confidently collaborate with senior management and various departments within the firm.
• Bachelor’s degree and 7+ years of related experience
• CFA, CAIA, or FRM qualifications are a plus
• Strong knowledge of equity and derivative instruments; knowledge of alternative investment strategies required
• Thorough understanding of the markets and applicable laws, rules and regulations
• Advanced knowledge of guideline monitoring/surveillance software and Bloomberg
• Excellent oral and written communication skills; ability to confidently collaborate with senior management
