Investment Management Compliance

Greenwich, CT




  • Develop effective portfolio surveillance and monitoring measures to identify/address issues on a “real time” basis
  • Expand the scope, depth, and transparency of guideline testing and escalation
  • Responsible for building the investment advisory compliance program and implementation of other trade order management and compliance applications
  • Improve upon existing controls, and proactively respond to business and regulatory changes
  • Develop a close working relationship with Portfolio Managers and Traders, and provide clear, sound advice to all groups
  • Review procedures and controls with findings reported to senior management
  • Ensure applicable policies and procedures are adequate and effective and build compliance checklists
  • Monitor portfolio manager adherence to client guidelines, internal parameters, and statutory requirements. Maintain list of automated and manual guidelines
  • Identify, escalate, and assist with resolution of breaches, with an emphasis in process improvement
  • Ensure a collaborative working environment between Investment Management, Business Control, Operational Risk, and Compliance. Foster an environment for information sharing







  • Minimum 3 years experience in operations/product control/compliance
  • Ideally equities and equity derivative knowledge
  • Familiarity with OMS system ideal
  • Passion for the markets




Note: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, we will keep your resume on file for future opportunities and may contact you for further discussion. 

Date Posted 6/25/2018
Salary $75,000- $105,000 + Bonus

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