Compliance Specialist
Position Summary
Our client is seeking an experienced investment compliance professional to support oversight functions related to fixed income, derivatives, and alternative asset classes. Operating within a global investment framework, this role contributes directly to maintaining adherence to internal risk protocols and external regulatory standards. The ideal candidate brings a strong grasp of investment compliance systems and demonstrates an ability to deliver high-quality service to internal stakeholders.
Key Responsibilities
Compiles, reviews, and analyzes multi-source data to produce detailed compliance-related reports on a recurring basis.
Coordinates the issue resolution process for potential regulatory breaches or policy exceptions, including investigation and documentation.
Interprets investment mandate documentation and translates guidelines into system-based compliance rules using a third-party investment platform.
Conducts periodic testing and leads updates to compliance logic to ensure accuracy and alignment with evolving policies.
Monitors data integrity and system functionality within investment platforms, ensuring alignment between policy intent and operational execution.
Provides support in the development and delivery of internal training sessions and procedure documentation.
Offers guidance and support to junior team members, helping build subject matter expertise within the team.
Qualifications and Experience
Required:
Bachelor's degree in Finance, Accounting, Business, Mathematics, or a related field, with a minimum of 5 years of relevant experience; or
MBA or equivalent graduate degree with at least 2 years of professional experience in investment compliance or a related field.
Preferred:
Background in insurance, reinsurance, or related financial services.
Direct experience with investment compliance tools such as BlackRock Aladdin or Charles River.
Familiarity with fixed income, derivatives, and portfolio management oversight.
Core Competencies
Strong understanding of investment operations, compliance frameworks, and financial regulations.
Demonstrated experience managing complex data sets and compliance rule implementation.
Effective multitasking and prioritization skills in a high-activity environment.
Excellent communication and stakeholder engagement skills, both written and verbal.
Aptitude for process automation, systems thinking, and continuous improvement.
Collaborative mindset with the ability to mentor and lead within a team setting.
Compensation Range:
Annual base salary anticipated between $100,000-115,000, depending on experience and qualifications.
Why Join Our Client
Our client offers a collaborative, inclusive culture that values independent thinking and cross-functional partnership. Employees are empowered to grow professionally while contributing to a company that values innovation, diversity, and excellence in investment governance.
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