Investment Compliance Jobs
The investment compliance executive has to conduct pre-trade approval for all trades related to the company clients and trading partners. He has to monitor positions against investment parameters/ restrictions each day. The investment compliance executive analyzes the compliance impact for new security/instrument types. He has to report on investment compliance policies to various internal and external clients and stakeholders so that they are forewarned of what is in store. The investment compliance executive also investigates, escalates, and reports issues to business management. The investment compliance executive establishes and documents compliance processes and procedures for new mandates and managers. He also trains new staff on investment compliance processes to clients and regulators.
The job requirements of the position are:
- Bachelor's degree in any discipline with increased exposure in compliance laws and regulations.
- Experience and knowledge of compliance measures, SOX compliance etc. is required.
The investment compliance executive has to conduct pre-trade approval for all trades related to the company clients and trading partners. He has to monitor positions against investment parameters/ restrictions each day. The investment compliance executive analyzes the compliance impact for new security/instrument types. He has to report on investment compliance policies to various internal and external clients and stakeholders so that they are forewarned of what is in store. The investment compliance executive also investigates, escalates, and reports issues to business management. The investment compliance executive establishes and documents compliance processes and procedures for new mandates and managers. He also trains new staff on investment compliance processes to clients and regulators.
The job requirements of the position are:
- Bachelor's degree in any discipline with increased exposure in compliance laws and regulations.
- Experience and knowledge of compliance measures, SOX compliance etc. is required.
search related to: Investment Compliance Jobs
related jobs
34 matches
| date | location | job title |
| Jan 14, 12 | |
USA-MA-Boston | |
Global Investment Compliance Manager
.... of the front-end compliance systems; provides investment compliance and technology support to the Equity and Fixed Income Investment Teams while ensuring the risk of trade loss is mitigated through t.... |
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| Jan 27, 12 | |
USA-IL-Chicago | |
Top Tier US Based Investment Advisor seeks SVP Compliance Officer – Investment Advisory Specialist - Chicago
.... huge amounts of exposure with a number of the firm's counterparties as well as gaining experience managing a team of 4 junior compliance analysts. The role sits within the central compliance function.... |
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| Feb 02, 12 | |
USA-AZ-Phoenix | |
Investment Compliance Officer
.... monitoring and supervisory services for various real estate, operating business, and renewable energy transactions including compliance in connection with different tax credit programs. Candidate sh.... |
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| Jan 30, 12 | |
USA-NY-Manhattan | |
Investment Advisor Compliance Officer
.... successful quant hedge fund with over $7 billion in assets under management. Due to an expansion in the business, a unique opportunity exists for an Investment Adviser Compliance Officer within its c.... |
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| Jan 27, 12 | |
USA-NY-New York City | |
Investment Advisor Compliance Officer
.... successful quant hedge fund with over $7 billion in assets under management. Due to an expansion in the business, a unique opportunity exists for an Investment Adviser Compliance Officer within its c.... |
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