Senior Manager, Compliance
Oliver James Group
We are partnering with a leading global investment management firm to find a Senior Manager to lead its Investment Compliance Monitoring function. This is an opportunity for an experienced investment compliance leader to take ownership of a team-wide monitoring framework, combining technical expertise across multiple asset classes with people leadership, process improvement and strategic initiatives. The opportunity
- Lead investment compliance monitoring across pre-trade, post-trade and batch processes.
- Oversee the interpretation and application of investment guidelines, portfolio restrictions and compliance requirements.
- Identify opportunities to strengthen controls, improve monitoring processes and optimize compliance rules.
- Partner with investment professionals, trading, legal, risk and operations teams to resolve complex issues and support business objectives.
- Drive automation, data-led improvements and emerging AI-enabled solutions.
- Develop and mentor a team, setting clear objectives and building a culture of accountability and continuous improvement.
- Support governance, regulatory changes, audit readiness and the evolution of the wider monitoring framework.
What we’re looking for
- Direct experience in Investment Compliance, ideally within an asset manager or a buy-side investment environment.
- Strong knowledge of investment guidelines, portfolio restrictions and monitoring processes.
- Experience leading, developing and motivating a team.
- A track record of improving processes, strengthening controls or supporting transformation initiatives.
- Strong stakeholder management skills and the ability to communicate complex issues clearly.
- Experience with Charles River, Aladdin or a comparable investment compliance/order management platform is beneficial.
This role would suit someone who enjoys combining technical investment compliance expertise with hands-on leadership, while helping a team develop and adapt as the business evolves.'
RELOCATION ASSISTANCE AVAILABLE
#J-18808-LjbffrVacancy posted 16 hours ago
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