Portfolio Compliance & Investment Guideline Associate
*5 DAYS ON-SITE*
Our client, a long‑standing independent investment management firm is seeking a compliance professional to join a collaborative, high‑performing team. This position is suited for someone who thrives in a fast‑moving environment, can work autonomously, and is comfortable managing multiple priorities.
Key Responsibilities
- Interpret client and regulatory requirements and translate them into operational rules within internal compliance systems, partnering with technology teams when custom solutions are needed
- Implement portfolio-level rules by translating investment guidelines and IMA's into system controls
- Support the onboarding of new accounts by reviewing documentation and ensuring compliance frameworks are properly implemented
- Conduct routine and ad‑hoc monitoring to detect and resolve issues related to client guidelines, regulatory expectations, or internal policy standards
- Serve as a resource for employees and clients by researching and responding to compliance‑related questions
- Complete additional tasks and projects as needed to support the broader compliance program
Qualifications
- At least 3 years of relevant experience within an investment management or registered investment adviser environment
- Ability to interpret legal and compliance documents such as investment guidelines, advisory agreements, and fund‑related disclosures
- Strong organizational skills with the ability to prioritize and execute responsibilities independently
- High attention to detail and strong multitasking capabilities
- Excellent communication skills, both written and verbal
- Strong proficiency with Microsoft Excel and Word, and comfort working with data
- Ability to work effectively within a team-oriented, compliance-driven environment
Education: Bachelor's degree required
The organization offers competitive compensation that includes base salary, discretionary bonus potential, retirement contributions, and a comprehensive benefits package.
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