VP of Investment Guideline Compliance
$140,000–$160,000 year
Remote
Job Summary
Establish investment controls in Bloomberg AIM by reviewing fund prospectuses and Statements of Additional Information to develop compliance rules and internal order management systems. Monitor daily trade order management exception reports to ensure adherence to investment guidelines, identifying and communicating violations to trading and investment management teams. Collaborate across departments to maintain compliance with the Investment Company Act, Internal Revenue Code, and other applicable laws while supporting the enhancement of internal compliance systems and processes. This role spans the full lifecycle of the trading compliance process from policy implementation through pre- and post-trade monitoring.
Required Qualifications
- Bachelor's degree
- Five to 10 years of direct experience in a comparable role at an investment management firm
- Energetic self-starter
- Excellent organizational skills
- Excellent verbal communication skills
- Excellent written communication skills
- Excellent interpersonal skills
- Excellent drafting skills
- Proven ability to manage and prioritize multiple projects simultaneously
- Demonstrated capacity to work independently
- Demonstrated capacity to work collaboratively
- Strong computer proficiency
- Advanced typing skills
- Deep familiarity with Microsoft Word
- Ability to quickly learn and adapt to new software and processes
Desired Qualifications
- Working knowledge of SEC rules and regulations applicable to mutual funds and ETFs
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