VP of Investment Guideline Compliance

VP of Investment Guideline Compliance

This is a senior compliance leadership opportunity focused on ensuring investment portfolios remain aligned with fund guidelines, regulatory requirements, and disclosed investment restrictions. You will oversee the implementation and monitoring of investment policies within Bloomberg AIM and internal order management systems. The role spans the full trading compliance lifecycle, from translating fund documentation into system rules to pre- and post-trade monitoring.

You will work closely with investment management, trading, operations, and other stakeholders to identify, investigate, and resolve potential compliance issues. Your expertise will directly support the integrity of ETF operations while helping strengthen compliance controls, processes, and technology. The position combines regulatory knowledge, analytical thinking, systems expertise, and cross-functional collaboration in a fast-paced investment management environment. Candidates located near Chicago, Milwaukee, New York City, or West Palm Beach are particularly encouraged to apply.

Accountabilities:

• Review fund prospectuses and Statements of Additional Information (SAIs) to interpret investment restrictions, guidelines, and regulatory requirements.
• Translate investment policies and restrictions into effective compliance rules and validations within Bloomberg AIM and internal order management systems.
• Establish, maintain, and enhance pre-trade compliance controls to ensure proposed transactions comply with applicable investment guidelines.
• Monitor daily trade order management exception reports and conduct post-trade compliance reviews to identify potential breaches or anomalies.
• Investigate investment guideline exceptions and communicate identified compliance violations promptly to trading and investment management teams.
• Collaborate with internal stakeholders to ensure portfolios and trading activities remain compliant with the Investment Company Act, Internal Revenue Code, SEC requirements, and other applicable regulations.
• Test and validate compliance rules and system configurations to ensure controls accurately reflect current fund documentation and regulatory requirements.
• Support ongoing enhancements to trade monitoring systems, compliance processes, workflows, and internal controls.
• Help maintain the integrity and effectiveness of the trading compliance framework throughout the full investment and trading lifecycle.
• Manage multiple compliance projects and priorities simultaneously while meeting demanding deadlines and maintaining a high standard of accuracy.
• Work independently on complex compliance matters while partnering effectively with investment, trading, operations, legal, and other teams.

• Bachelor's degree required.
• 5–10 years of direct experience in investment guideline, trading, or compliance roles within an investment management firm or comparable financial services environment.
• Strong understanding of investment restrictions, portfolio compliance, trade monitoring, and investment management processes.
• Experience reviewing fund prospectuses and SAIs and translating investment policies into operational or system-based compliance controls.
• Experience with Bloomberg AIM or comparable investment compliance, portfolio management, or order management systems is highly valuable.
• Working knowledge of SEC rules and regulations applicable to mutual funds and ETFs is preferred.
• Strong analytical, organizational, and problem-solving skills, with exceptional attention to detail and accuracy.
• Excellent written, verbal, interpersonal, and drafting skills, with the ability to communicate compliance matters clearly to investment and trading professionals.
• Demonstrated ability to identify, assess, and escalate potential compliance violations in a timely and effective manner.
• Proven ability to manage and prioritize multiple projects, deadlines, and competing responsibilities.
• Ability to work independently and collaboratively in a fast-paced environment while maintaining sound judgment under pressure.
• Strong computer proficiency, including advanced Microsoft Word skills and the ability to quickly learn…