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-Ljbffr 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...SeniorRelocation package
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