Compliance Jobs 2026 (Now Hiring) – Smart Auto Apply

The Portfolio Compliance team is responsible for negotiating, establishing, interpreting and monitoring investment guidelines and the associated complex trading rules that are applicable to the firm and its clients. The team partners with our portfolio management and investment services teams to support new investment initiatives across the firm s global equity and derivative trading strategies and across developed, emerging and frontier markets. The Portfolio Compliance team also works closely with the firm s regulatory compliance, legal, and client relationship teams on regulatory and contractual matters relating to trading activities.We are seeking an experienced, senior compliance professional with an interest in automation and technology-enabled solutions to lead our team. The position will provide an individual with opportunities to apply their experience and analytical skills to a wide variety of projects and technological enhancements.RESPONSIBILITIES

• Lead a team responsible for ensuring that proposed trades are in compliance with applicable investment guidelines set forth by client contracts, offering memorandums and applicable regulations.
• Partner with our portfolio management team, investment services team, client relationship team and legal teams to draft and negotiate investment guidelines with clients, taking into account client objectives, the firm s investment process, operational capabilities and other internal requirements.
• Initiate and lead efforts to identify, test and implement systematic enhancements to existing workflows.
• Support new investment initiatives and compliance with regulatory changes by identifying, testing and implementing automated solutions to address new operational requirements.
• Analyze client guidelines and restrictions in support of new portfolio management initiatives.
• Oversee the proper set-up of client guidelines and client restrictions within the compliance system.
• Oversee the analysis and resolution daily portfolio compliance alerts and warning reports.
• Oversee portfolio rebalance sessions.
• Communicate with clients and internal senior audiences on investment guideline related matters.

QUALIFICATIONS

• 10+ years of experience in the asset management industry, preferably at an established investment manager, with at least 5 years of experience in portfolio guideline compliance
• Experience leading teams and large-scale projects, including projects related to third-party compliance systems
• Demonstrated experience communicating and collaborating with clients on investment guideline related matters
• Ability to thrive in a dynamic, fast-paced environment and prioritize under tight deadlines
• Self-starter that works proactively and thinks both strategically and tactically
• Demonstrated ability to identify, design and implement improvements to existing processes and procedures with a keen interest in the use of technology, including as it relates to leveraging AI
• Ability to prioritize and effectively manage competing priorities and projects while maintaining a strong attention to detail
• Strong analytical and organizational skills
• Effectively collaborates across teams/functions
• Excellent communication skills oral and written
• Comfortable communicating and collaborating directly with clients
• Experience managing teams