Investment Compliance VP
Job Summary
Joining a dynamic compliance team, the full-time VP of Investment Guideline Compliance will manage the establishment of controls in Bloomberg AIM to ensure adherence to investment limits and restrictions for ETFs, focusing on pre- and post-trade compliance monitoring in a remote capacity.
Key responsibilities
- Review fund prospectuses and Statements of Additional Information to develop compliance rules within Bloomberg AIM and internal order management systems
- Monitor and test daily trade order management exception reports to ensure adherence to investment guidelines
- Identify and communicate compliance violations to trading and investment management teams in a timely manner
Required qualifications
- Bachelor's degree required
- Five to 10 years of direct experience in a comparable role at an investment management firm
- Working knowledge of SEC rules and regulations applicable to mutual funds and ETFs is preferred
- Strong computer proficiency, including advanced typing skills and familiarity with Microsoft Word
- Proven ability to manage and prioritize multiple projects simultaneously
Complete Job Description
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