Investment Compliance VP

Job Summary

A company is looking for a VP, Investment and Trading Compliance.

Key Responsibilities

• Review fund prospectuses and develop compliance rules within Bloomberg AIM and internal order management systems
• Monitor daily trade order management exception reports for adherence to investment guidelines
• Identify and communicate compliance violations to trading and investment management teams

Required Qualifications

• Bachelor's degree required
• Five to 10 years of direct experience in a comparable role at an investment management firm
• Strong computer proficiency, including familiarity with Microsoft Word
• Working knowledge of SEC rules and regulations applicable to mutual funds and ETFs is preferred
• Ability to manage and prioritize multiple projects simultaneously