Investment Compliance

Charles River ++++

Senior Associate – Investment Compliance

Series 7~

This position offers direct interaction with investment operations, trading personnel, and cross-functional support teams within a fast-paced financial services environment. The role combines exposure to regulatory oversight, trade surveillance, forensic review processes, and operational controls, with opportunities for long-term professional growth. The successful candidate will be responsible for monitoring portfolio holdings and trading activity to ensure adherence to client mandates, internal governance standards, and applicable regulatory obligations across a range of managed investment vehicles and advisory accounts.

Key Responsibilities

• Independently assess and resolve pre-trade and post-trade compliance alerts in partnership with trading, operations, and support teams
• Review daily compliance monitoring and trading exception reports, coordinating issue resolution across multiple business areas
• Prepare and complete required regulatory ownership and disclosure filings
• Partner with Compliance, Legal, Technology, Relationship Management, and Investment teams to address client reporting requests and regulatory inquiries
• Identify and implement process improvements and operational efficiencies through collaboration with internal technology resources
• Analyze historical account and trading activity to support client certifications and reporting requirements
• Prepare and submit international ownership disclosures, shareholder notifications, and related regulatory submissions across various jurisdictions
• Monitor and validate manual investment restriction controls based on established risk and oversight frameworks
• Maintain and update departmental policies, procedures, checklists, and governance documentation
• Conduct reconciliation and control review projects to ensure consistency across internal systems and data sources
• Support additional regulatory and compliance initiatives as assigned

Qualifications

• Bachelor’s degree with at least 5 years of relevant experience within investment management, asset management, or institutional financial services
• Strong understanding of capital markets and investment products, including experience with fixed income, equities, and derivatives preferred
• Familiarity with U.S. financial regulations governing investment advisers, registered funds, trading activity, and market oversight; exposure to international regulatory frameworks is a plus
• Ability to work independently while collaborating effectively within a team-oriented environment
• Strong analytical, organizational, and problem-solving capabilities with exceptional attention to detail
• Effective written and verbal communication skills across technical and non-technical stakeholders
• Proven ability to manage competing priorities and meet deadlines in a high-volume environment
• Experience with Bloomberg and other industry-standard financial systems and applications
• Industry licensing preferred or willingness to pursue relevant securities registrations