Job Overview – Senior Portfolio Compliance Associate:
Compensation: $165,000 – $190,000/year base ($250,000 All-In)
Location: Jersey City, NJ
Schedule: Monday to Friday (In-Office)
Atlantic Group is hiring a Senior Portfolio Compliance Associate to join our investment management client in Jersey City, NJ. This in-office role is ideal for a compliance professional with expertise in investment guideline monitoring, regulatory oversight, and order management systems. You’ll manage pre- and post-trade compliance, support new product launches, and contribute to policy development, while working closely with investment, trading, and legal teams.
Responsibilities as the Senior Portfolio Compliance Associate:
- Guideline Interpretation & Coding: Interpret investment guidelines, fund documentation, and regulatory requirements to accurately code restrictions into compliance systems.
- Trade Monitoring & Surveillance: Conduct daily pre- and post-trade monitoring, trade surveillance, and testing to ensure adherence to client mandates and internal controls.
- Product Compliance Support: Assist with compliance setup for new products and fund structures, including SMAs, mutual funds, UCITS, and private funds.
- Cross-Functional Collaboration: Partner with investment, legal, and operations teams to address compliance issues and ensure policy alignment.
- Regulatory Research & Policy Enhancement: Monitor regulatory changes and contribute to the development and improvement of compliance policies and procedures.
Qualifications for the Senior Portfolio Compliance Associate:
- Education: Bachelor’s degree in Finance, Economics, Business, or a related field required.
- Experience: 5-10 years of experience in investment compliance, portfolio monitoring, or regulatory oversight within asset management or financial services.
- Technical Proficiency: Advanced Excel skills with experience driving automation and workflow enhancements, and proficiency in compliance and order management systems, including Charles River.
- Skills & Attributes: Strong analytical, organizational, and communication skills with a keen attention to detail and a proactive, solution-oriented mindset.
- Industry Knowledge: Deep understanding of investment products, regulatory guidelines (e.g., SEC, UCITS), and best practices in portfolio and trading compliance.
Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.