Manager, Investment Compliance - Investment Management
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The role
Identify, evaluate, and prioritize business, operational, regulatory, and technology risks affecting investment compliance programs across pre-trade and post-trade activities. Support investment managers in strengthening guideline and mandate compliance across portfolios, funds, and strategies, including limits, concentration, liquidity, derivatives, leverage, eligibility, and ESG restrictions where applicable. Translate rule interpretations into codified requirements, manage breach workflows, and establish governance, attestations, escalation protocols, and evidence for audits. Design and implement surveillance and monitoring processes, tune alerts, reduce false positives, and develop case management and exception reporting to stakeholders. Contribute to internal business development by creating external-facing insights, lead generation materials, and sales proposals focused on investment compliance modernization. Collaborate with cross-functional teams to maintain data quality, documentation, and training for compliance and investment staff.
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