Compliance Officer

Role Overview

• Review and resolve compliance exceptions promptly, providing subject matter expertise to investment and trading teams.
• Analyze compliance alerts using knowledge of investment guidelines, regulations, systems, and data to support accurate decision-making.
• Escalate critical issues to senior team members to prevent regulatory, client, or internal violations.
• Serve as a key contact for fixed income teams, addressing time-sensitive compliance questions and requests.
• Coordinate resolution and documentation of compliance violations across internal stakeholders.
• Participate in testing new investment ideas and product launches to ensure regulatory compliance.
• Identify and implement process improvements to enhance compliance operations and efficiency.
• Represent compliance in cross-functional projects, staying informed of regulatory changes and contributing to strategic initiatives.

Requirements

• Bachelor’s degree in a related field
• 3+ years of experience in the asset management industry
• FINRA Series 6 or 7 preferred
• Knowledge of domestic and international securities law i.e. 1940 act, UCITS Framework, 81-102
• Prior experience with trading/compliance systems such as Aladdin, Charles River preferred
• Strong customer service orientation applies consultative approach to interacting with peers and business partners.
• Team worker who must be able to build working relationships and interact with a diverse group of internal contacts.
• Strong interpersonal skills, effective written and oral communications.
• Excellent organizational skills, ability to manage competing priorities and deadlines.
• Proven analytical skills and ability to make critical, time sensitive decisions.

Benefits

• Flexible paid time off
• Hybrid work schedule
• 401(K) matching of 100% up to the first 6% with a discretionary supplemental contribution
• Health & wellbeing benefits
• Parental Leave benefits
• Employee stock purchase plan