Investment Compliance Associate

Job Summary

Joining a dynamic compliance team, the full-time Investment Compliance Associate will manage the establishment of controls in Bloomberg AIM to ensure adherence to investment limits and restrictions for ETFs, overseeing the full lifecycle of the trading compliance process in a remote setting.

Key responsibilities

• Implement investment policies from fund disclosure documents into the Bloomberg AIM system
• Conduct pre- and post-trade compliance monitoring to ensure adherence to investment guidelines
• Identify compliance and portfolio management issues in complex investment strategies

Required qualifications

• Five or more years of experience in investment guideline compliance at an investment management firm
• Bachelor's degree in finance, economics, accounting, or a related field; advanced degree or JD preferred
• Knowledge of ETF regulatory framework and various asset classes
• Proficiency in compliance systems, data reporting, and portfolio analytics tools
• Strong computer skills, including advanced proficiency in Microsoft Word