Compliance Manager, Finance & Banking

Job Title

This person will work closely with Client Services, Legal, Investment Management and the Contracts Office on contract and prospectus/SAI development. This person will be an individual contributor.

• Perform review of prospectus/SAIs and investment management agreements to identify and analyze investment guidelines and restrictions.

• Perform similar review and analysis of guideline amendments. Implement or code rules for monitoring individual accounts' guidelines.

• Identify, escalate and resolve interpretive issues.

• Manage account documentation as well as a current knowledge of industry practice and developments.

• Identify data requirements needed for investment compliance monitoring.

• Research applicable laws and regulations, analyze their effect on business practices and work with legal partners to clarify requirements.

• Assist with the development of automated rules to monitor for compliance with investment guidelines and restrictions.

• Test rules used to monitor for compliance with investment guidelines and restrictions.

• Conduct periodic account reviews to assess efficiency and effectiveness of investment guideline monitoring and validate analysis with investment management personnel.

Required Qualifications

• Experience working in the Financial Services industry, with proven success in audit and/or compliance functions.

• Bachelor's degree or equivalent work experience

• Knowledge of SEC and other regulatory requirements.

• Strong written and verbal communication skills.

• Ability to prepare and/or present material for senior leaders, with leader support.