Overview
A global investment management firm is looking to hire a Vice President (Investment Compliance) to join its investment and Trading Compliance team based in Connecticut.
The firm’s Compliance team is responsible for ensuring the firm’s adherence to not only its legal, regulatory and fiduciary requirements but also to the high ethical standards expected from all of its employees. The team oversees the development of policies and procedures, training and continuing compliance education, risk identification and guidance to business and operational units. The Compliance team reinforces the firm’s commitment to a culture of compliance in a dynamic legal and regulatory environment.
Key Responsibilities
- Monitor adherence to client guidelines, offering documents, internal parameters, and statutory requirements for private funds, separately managed accounts and registered products (e.g., 40 Act Funds, UCITS Funds)
- Develop a close working relationship with Portfolio Managers and Traders, and provide clear, sound advice to all groups across the firm
- Research, interpret and advise the teams about compliance with applicable investment and trading laws, regulations and guidance
- Coordinate with key stakeholders on ESG matters; assist in implementation of proxy voting policy
- Implement and/or refine monitoring measures to identify/address issues on a “real time” basis and assist with resolution
- Draft/edit written policies and procedures to respond to business/regulatory changes or to launch new business lines
- Respond to regulatory inquiries from US and foreign financial authorities
Skills, Knowledge & Experience
- Bachelor’s degree and 7+ years of related experience’
- CFA, CAIA, or FRM a plus
- Strong knowledge of equity and derivative instruments; knowledge of alternative investment strategies required
- Thorough understanding of the markets and applicable laws, rules and regulations
- Advanced knowledge of guideline monitoring/surveillance software and Bloomberg
- Willingness to learn new and complex investment methodologies
Person Specification
- Intelligent, energetic and goal-oriented with the ability to juggle multiple tasks, meet deadlines and exercise sound judgment.
- Excellent oral and written communication skills; must be able to confidently collaborate with senior management and various departments within the firm.
- Well-organized and detail oriented.
- A self-starter with the ability to follow through and complete tasks in a highly intellectual, collaborative environment.
