Provide senior oversight of pre-trade compliance monitoring within Aladdin OMS, resolving complex exceptions and advising senior portfolio managers and traders.
Own contract interpretation and rule governance for client IMAs and regulatory investment restrictions, ensuring accuracy and control integrity.
Partner with Product, Legal, and Investments teams to support new product launches by reviewing and embedding robust compliance controls.
Act as a senior compliance partner to Fixed Income, leveraging analytics to deliver timely, consistent compliance outcomes aligned with business and regulatory requirements.
Collaborate with portfolio management to evaluate new investment strategies, ensuring compliance through Aladdin system capabilities.
Lead cross-functional projects, managing workstreams, resolving issues, and communicating updates to senior stakeholders.
Mentor junior compliance officers, providing technical guidance and fostering strong risk awareness and professional judgment.
Drive continuous improvement initiatives to enhance control effectiveness, data quality, and compliance monitoring processes.

Bachelor’s degree in finance, accounting, or a related field.
Minimum 5 years of experience in financial services, preferably in asset management.
Strong knowledge of investments, securities law (e.g., 1940 Act, UCITS, 81-102), and investment management industry practices.
Experience with trading/compliance systems such as Aladdin and Charles River preferred.
Excellent analytical, organizational, and problem-solving skills with strong attention to detail.
Effective communication and interpersonal skills, able to work independently and collaboratively under pressure.
FINRA Series 7 license and/or advanced professional certifications preferred.
Proven ability to manage competing priorities and deliver high-quality results in a fast-paced environment.

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

Senior Compliance Officer

Key skills