Senior Investment Compliance Associate / Team Lead

Our client is seeking a Senior Associate in Investment Compliance and Team Leadership to join their esteemed traditional and alternative credit management firm. This role will place you within the Legal & Compliance Department, where you will be instrumental in ensuring the firm's adherence to applicable laws, rules, regulations, internal policies and procedures, as well as client investment guidelines and restrictions.

Key Responsibilities:
As a Senior Associate in Investment Compliance and Team Leadership, your role will be crucial in maintaining the firm's high standards of compliance. Your responsibilities will encompass managing pre- and post-trade compliance rules, assisting Portfolio Managers with daily compliance inquiries, conducting ongoing surveillance on various aspects of trading activities, administering internal databases, participating in forensic testing of policies and procedures, taking ownership of special projects to add value to the firm's objectives, assisting with onboarding new brokers and clients, as well as conducting due diligence on new vendors.

• Oversee pre- and post-trade monitoring portfolio compliance of separate accounts, commingled funds, mutual funds, and UCITS.
• Manage and update pre- and post-trade compliance rules in the firm’s Order Management System.
• Review and respond to client questionnaires and compliance certification requests.
• Assist Portfolio Managers and Traders with daily compliance and trade related inquiries.
• Conduct ongoing surveillance on allocations, new issues, best execution, and cross trades.
• Administer and maintain internal databases and logs, such as trade error logs.
• Participate in compliance forensic testing of policies and procedures.
• Take ownership for special projects and explore opportunities to add value to overall firm objectives.
• Assist with the onboarding of new brokers, new clients, and trading counterparty relationships.
• Perform diligence on new vendors and brokers.

Key Requirements:
The ideal candidate for the Senior Associate in Investment Compliance and Team Leadership position brings a wealth of experience in compliance oversight on an Order Management System (OMS) such as Charles River, SS&C Eze or Bloomberg. You are knowledgeable about the Investment Advisers Act of 1940, Investment Company Act of 1940, ERISA and other US and global regulations applicable to investment advisers. Your detail-oriented nature and strong analytical skills enable you to excel in problem-solving. You have excellent written and verbal communication skills, a positive attitude towards work, and are comfortable interacting with senior management. You thrive in a fast-paced environment with competing priorities and are always ready to assume new responsibilities. You are highly organized and always eager to learn.

• Minimum 5 years of experience with compliance oversight on an OMS such as Charles River, SS&C Eze or Bloomberg.
• Knowledgeable about the Investment Advisers Act of 1940, Investment Company Act of 1940, ERISA, and other US and global regulations applicable to investment advisers.
• Detail-oriented with strong analytical skills.
• Excellent problem-solving skills.
• Strong written and verbal communication skills.
• Positive attitude towards work.
• Comfortable interacting with senior management.
• Ability to work efficiently in a fast-paced environment with competing priorities.
• Proactive approach with willingness to assume new responsibilities.
• Highly organized with eagerness to learn.

What sets this company apart:

• This is an exceptional opportunity to join a leading traditional and alternative credit manager that values its employees' growth and development.

What's next:

If interested in this position, please contact Michael Kelly at +1 332 205 3880 or Michael.Kelly@robertwalters.com