Investment Compliance Resume Samples

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F Senger

Ford

Senger

538 Fabiola Garden

Chicago

+1 (555) 145 8615

538 Fabiola Garden

Chicago

Phone

p +1 (555) 145 8615

Experience Experience

Boston, MA

Investment Compliance Officer

Boston, MA

Satterfield LLC

Boston, MA

Investment Compliance Officer

Providing metrics to management on a regular basis
Undertake and provide compliance guidance to business projects and working parties in relation to new products and initiatives
Provide guidance and approvals for Financial Promotions, working alongside the Belfast Compliance Team
Works collaboratively with Legal Investment Compliance in Baltimore and Hong Kong and assists where necessary, including public holiday cover
Assisting with management of regulatory inspection visits
Report findings to management and follow-up on management responsesof the branch reviews in a accurate and concise
Assists in administering the code of ethics and other compliance policies

Phoenix, AZ

Investment Compliance Analyst

Phoenix, AZ

Jaskolski, Howell and Spencer

Phoenix, AZ

Investment Compliance Analyst

Contacting Portfolio Managers for missing documentation
Maintain Compliance Risk Management program elements, such as inventory of laws and documentation of compliance controls
Cooperate with internal and external audit and operational risk management
Take part in the development of new products and services
Guarantee the escalation of problems to head of department / local management
Assist with the sub-adviser due diligence process
Assist in the maintenance and quality assurance of the investment compliance processes

present

Dallas, TX

Investment Compliance Manager

Dallas, TX

Morissette, Nolan and Mraz

present

Dallas, TX

Investment Compliance Manager

present

Filing returns and disclosures to regulators for investments
Act as key manager, assisting in the management of the day to day to day affairs of the Investment Management Compliance function of the firm
Assist with the ongoing maintenance of the adviser’s compliance program, including updates to the policies and procedures
Conduct periodic account reviews to assess efficiency and effectiveness of investment guideline monitoring and validate analysis with investment management personnel
Keep current on laws and regulations, particularly those promulgated by SEC (and other regulators and SROs such as the CFTC and NFA) which may affect the investment adviser, commodity pool operator and mutual funds
Provide secondary reviews of compliance violations and compliance training to staff including alert resolutions, workflow processes and regulatory updates
Conduct detailed testing and analysis of rules in order management systems to validate accuracy and effectiveness

Education Education

Bachelor’s Degree in Business

East Carolina University

Bachelor’s Degree in Business

Skills Skills

Great communication (verbal and written), attention to detail (accuracy), ability to multi-task and prioritize work, time management and organization skills
Proven ability to deliver strong outcomes with a solution focused approach to work
A solid understanding of both Charles River and BRS Aladdin's compliance monitoring functionality along with direct experience in using the systems in an investment management / funds administration environment
Good knowledge domestic as well as international markets across all asset classes
Ability to clearly communicate complex matters to various levels of management
Ability to work and perform independently as part of a global team
Excellent analytical, problem-solving and incident management skills

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15 Investment Compliance resume templates

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Investment Compliance Officer Resume Examples & Samples

To support the UKC/IPB Investments Compliance Head to manage the investments compliance risk within the IPB and UK Retail business
To provide update/escalations to the UKC/IPB Investments Compliance Head for key governance forums, with high focus on conduct risk and customer outcomes
Support the UKC/IPB Investments Compliance Head and the business on the implementation of new regulations and Citi policies relating to the IPB and UK Retail Investments business and for communicating changes to the business
For CASS related activities support the coordination of compliance activities for both businesses Monitor adherence to relevant regulations, policies and procedures and report any breaches to the UKC/IPB Investments Compliance Head. Monitor that appropriate remedial action is taken in respect of any identified breaches
Provide regulatory guidance and support to the IPB and UK Retail investment business on a day to day basis
Provide approval for investment related policies and procedures that have compliance related risks
Undertake and provide compliance guidance to business projects and working parties in relation to new products and initiatives
Monitor appropriate compliance risk areas in the business and initiate any corrective actions to minimise scope for future breaches
Provide guidance and approvals for Financial Promotions, working alongside the Belfast Compliance Team
Experience in a UK compliance or regulatory role preferred
Understanding of retail wealth management products, particularly investments products. It would be preferred if role holder has a proficient knowledge in some of the following products

Investment Compliance Analyst Resume Examples & Samples

Review of compliance policies and procedures, quarterly certifications, and due diligence questionnaire responses to determine adequacy
Maintain Compliance Risk Management program elements, such as inventory of laws and documentation of compliance controls
Conduct quarterly risk assessment of control environment and help prepare Quarterly Board materials
Organize and maintain materials to be reported to boards for annual contract renewal process
Assist with the sub-adviser due diligence process
Assist with sub-adviser specific requests and questions
Keep updated on relevant SEC developments and industry best practices
Bachelor’s degree required; advanced degree (MBA or JD) preferred
Excellent knowledge of investment strategies and operations
Excellent interpersonal skills and strong leadership skills
5 to 10 years of mutual fund and investment adviser regulatory compliance experience (primarily with respect to the Investment Company and Investment Advisers Acts of 1940), with the ability to read/interpret complex subjects including applicable regulations
Experience with SEC Rules 38a-1 and 206(4)-7 strongly preferred
Proven project management and negotiation skills
Former regulatory experience a strong plus

Regional Investment Compliance Officer Resume Examples & Samples

Ensure consistent application and interpretation of local, regional and global Citi investment policies and standards throughout the EMEA Region. Provide oversight of the EMEA Investment Compliance function across the region
Providing review and approval of product governance and approval processes, approving new products, regional sales and marketing materials including but not limited to; new product documentation, regional marketing templates, client presentations/pitches, investment proposals, client events/invitations, as necessary
A key focus of the role is keeping up-to-date with the ongoing significant regulatory change across the region. The role holder will have responsibility for reviewing US/EU/UK and Regional/Local regulatory change across the investment, conduct impact analysis and provide clear regulatory advice on changes required to the Businesses’ processes
Advise the businesses on areas of conduct risk relating to the distribution of investment products as applicable to EMEA Consumer Compliance
Collate and analyze MIS including KPIs, Complaint trending, Sales surveillance trending and conduct root cause analysis in consultation with relevant regional & country business and compliance colleagues. Provide data and information to the regional investment governance committees. Review investment surveillance metrics, identify areas of concern and escalate to regional management
Support the Compliance testing team during investment product related reviews either regionally or locally
Through the above and local business consultation, including on-site business visits where required, conduct continuous evaluation of investment sales practices across the EMEA Region, conducting risk assessments and escalating to management
Prepare for and support EMEA Senior Product Compliance management in the Regional Investment Supervisory Committee to assist in the analysis of proposed new products, structures and channels
Assist senior compliance management in developing training materials and presentations for use by Compliance, Product and Operations staff throughout the region
Ensure that EMEA Compliance standards, procedures and intranet pages are up to date and in line with a rapidly changing regulatory environment
Monitor ongoing effectiveness of regional processes, through various monitoring initiatives
Perform gap analysis of regulatory enforcement actions, experienced by other retail and wealth management firms, against the Consumer bank processes across the EMEA region and track corrective action plans, as necessary
Work with global compliance stakeholders on compliance projects and initiatives, as directed. Undertake ad-hoc reviews, projects or investigations as required
Working closely with key Regional stakeholders, including the WM senior management, Legal, Compliance, IPR, Operational Risk and Internal Audit to effectively manage compliance risk emanating from distribution of wealth management products within the organisation

Investment Compliance Officer Resume Examples & Samples

The incumbent will support the Chief Compliance Officer in administering a compliance program designed to comply with the requirements of the Investment Advisers Act of 1940
Assists in preparing regulatory filings and other formal documents
Prepares or assists with the preparation of various compliance reports to internal and external constituents
Assists in administering the code of ethics and other compliance policies
Assists in the administration of marketing and advertising reviews
Performs research, prepares appropriate documentation, and responds to compliance inquiries
Assists in maintaining records and compiling information requests in support of AUIM’s compliance program
Prior experience administering or supporting a compliance or similar type program
3 years of relevant compliance experience

Investment Compliance Resume Examples & Samples

Be responsible for the daily monitoring of equities funds, portfolio trading in Asia and Europe
Oversee the Equities Trading activities in Hong Kong
Assist in submission of regulatory reports, registration and deregistration
Provide compliance advisory to the portfolio managers, traders and research analysts
Assist team head in handling any other general compliance matters
Have at least 3-7 years of relevant experience in the compliance function
Be knowledgeable with Equities products
Have good knowledge on SFC regulations
Be a self starter and a team player
Be proficient in English (near native level) is a MUST
Have excellent communication skills

CIB Investor Services Trustee Manager Investment Compliance Restrictions Specialist Associate Resume Examples & Samples

Academic background: a degree in Finance would be an advantage
Experience working in similar position and notably fund’s investment restriction checks (preferably Luxembourg)
Good knowledge of main EU Directives and Luxembourg fund regulations
Experience in UCITS and alternative funds’ investment restrictions
Strong analytical and organisation skills, independent and pro-active, motivated to learn
Ability to work as a team member and ensure a high service quality level focused on client
Written and spoken English is required; French and/or German an advantage

Investment Compliance Officer Resume Examples & Samples

Review and approval of global and regional investment products; including capital markets, funds, and managed investments
Review and approve TIP and Termsheet documentation
Approval of client facing marketing materials client presentations/pitches, investment proposals general capabilities decks and client events/invitations
Providing Compliance Approval for promotions of unregulated products to retail clients
Maintain the financial promotions/marketing material disclaimers
Supporting the Business in streamlining financial promotions and marketing material reviews
Providing metrics to management on a regular basis
Close liaison and interaction with global Compliance colleagues in Asia and the US

Investment Compliance Analyst Resume Examples & Samples

Daily investment compliance monitoring of limits, restrictions & investment guidelines across all asset classes servicing AMPC front office teams across the globe
Breach reporting, rectification and resolution
Real time engagement with front office to efficiently and accurately resolve Pre-Trade compliance issues
Change management responsibilities including new setups and changes to existing involving interpretation, quantifying, coding and testing across Charles River and BRS Aladdin systems
Working closely with IT to leverage resources and tools available to tailor solutions for compliance monitoring requirements
Enterprise and client reporting
Participation in ad-hoc projects
Excellent analytical, problem-solving and incident management skills
Advance level experience in Excel is a must, intermediate experience in coding/VBA skills
University degree in Finance or commerce
Ability to clearly communicate complex matters to various levels of management
A minimum of 5 years of solid experience in the funds management industry with a strong focus on investment compliance
Proven ability to deliver strong outcomes with a solution focused approach to work
Ability to work and perform independently as part of a global team

Consultant, Investment Compliance Resume Examples & Samples

Train clients on the use of the compliance system
Review all triggered messages from compliance system notifying
Minimum of 5 to 7 years of investment related experience
Advanced Excel experience is highly preferred
Experience with Charles River or similar compliance monitoring systems is highly preferred

Investment Compliance Officer Resume Examples & Samples

Serve as the key point of contact both internally and externally for all portfolio management related queries with regards to local regulatory requirements and restrictions (eg SFC requirements). In addition, internally provide training across the Company on such matters
Provide investment oversight for the consulting and investment management business in HK
Serve as the first point of contact for investment management on pre trade issues and queries
Review, research and close pre trade alerts (including overriding alerts)
Manage any regulatory relationship and matters to ensure that implentation of new regulations, filings and licensing are executed properly
Support any ad hoc and special projects related to the enhancement of compliance framework and regulatory environment
Have at least 4-6 years of relevent experience in the investment management space
Be knowledge on HK SFC regulations
Be proficient in English and Mandarin
Have good understanding of investment management or funds business in HK

Consultant, Investment Compliance Resume Examples & Samples

Trains clients on the use of the compliance system
Develops custom reporting solutions for clients using automated system
Assesses and recommends changes and/or enhancements to improve efficiency and effectiveness of processes
Works with team of investment compliance and risk professionals to contribute to the firm’s committee and governance structure

Investment Compliance Manager Resume Examples & Samples

Review and validate pre-trade overrides and alerts, post-trade warnings & potential breaches in trade order management systems and monitor other reports
Provide advice and guidance to investment personnel on investment guideline rules and regulatory requirements governing investments (including portfolio managers, research analysts, traders and assistants) – in person, hotline and email support
Escalate issues and resolve with key stakeholders such as Portfolio Managers, Business Executives and Operations
Provide training to Investment Teams on new accounts and funds
Conduct detailed testing and analysis of rules in order management systems to validate accuracy and effectiveness
Identify data requirements needed for investment compliance monitoring
Assist with the development of automated rules to monitor for compliance with investment guidelines and restrictions
Provide secondary reviews of compliance violations and compliance training to staff including alert resolutions, workflow processes and regulatory updates
Assist with the ongoing maintenance of the adviser’s compliance program, including updates to the policies and procedures
5+ years experience in the Financial Services industry, with proven success in compliance functions, or legal or audit background
Experience in a compliance related function supporting Asset Management
General knowledge of Investment Company and Investment Advisor operations, including applicable securities laws
Detail-oriented, strong analytical and organizational skills
Ability to work independently, as well as, within a team or across the organization
Demonstrated initiative and ability to bring assignments to full closure
Experience with Aladdin, LineData, Charles River, Latentzero, and other compliance systems is a plus

Team Lead, Investment Compliance & Control Resume Examples & Samples

Perform on-boarding due diligence for any new ManCo delegates (IM, Distributors, KIID production)
Coordinate and perform (if required) on-going (yearly/ quarterly) due diligence reviews for all ManCo delegates
2nd review of documents issued for on-going reviews (yearly/ quarterly)
Run the Risk-Based approach assessment for any new delegates and review the allocated Risk on regular basis for existing delegates
Coordinate/ Validate the daily monitoring of the KIIDs for ManCo Clients (new and existing)
Coordinate/ Validate the year end KIIDs review for ManCo ClientsOrganisation of the day to day Oversight activities
Implementation of new regulatory changes that affect ManCo oversight activity
Review and maintenance of the Oversight Procedures
Completion of monthly KPIs and present them to the Senior Management when required
Preparation of the Clients Communication including reports for the Funds’ Governing Bodies
Comment on LFR Reports received for ManCo Clients from auditors etc
Be the main point of contact for internal or external audit
Fulfil additional, relevant, appropriate tasks to the role
Report on a regular basis and raise issues to the Compliance Manager
Graduate in law , economics or finance is preferred
Good knowledge of Funds Industry
English : spoken, written is Mandatory
Any other language is an advantage
Effective verbal reasoning
Ability to work on own initiative
Dynamic and flexible

Investment Compliance Analyst Resume Examples & Samples

Bachelor degree or equivalent work experience plus 2+ years related work experience
Bachelor’s degree required and preference in one of the following: finance, pre-law, business, or related field required
A minimum of 2-4 years’ experience in relevant industry such as Investment Management
Compliance experience with a broker dealer, major insurance company, banking institution, or regulatory agency preferable
Experience with a firm serving both affiliated insurance companies and non-affiliated institutional clients a plus

Investment Compliance Analyst Resume Examples & Samples

Perform daily investment compliance and monitoring of the trading activities of MIM's portfolios in an accurate and efficient manner
Assist in investigating investment guideline breaches and ensuring the appropriate actions are taken to resolve breaches
Assist in the set up of limit guidelines in Dimension and thinkFolio for new funds and portfolios
Conduct ad-hoc risk reviews
Assist in the maintenance and quality assurance of the investment compliance processes
Regular contact with the Investment Teams and Dealing teams to resolve limit breaches is a crucial aspect of the role

Investment Compliance Manager Resume Examples & Samples

Conduct trade compliance monitoring
Ensure the compliance of regulatory requirements for investments
Filing returns and disclosures to regulators for investments
Handle regulatory requests/ inquiries
Monitor existing investment portfolio risk exposure
Conduct company secretary duties for the direct investments

Investment Compliance Analyst Resume Examples & Samples

Analyse and document all the reported investment compliance exceptions
Identify and qualify investment compliance breach including the origin of the incident
Perform NAV reviews and audit certifications
Participate to internal reporting activities to measure the quality of Depotbank operations
Guarantee the escalation of problems to head of department / local management
Comply with regulatory requirements and internal guidelines
Cooperate with internal and external audit and operational risk management
Complete the “monthly business checklist” and deliver it on time
University degree (Finance, Economics, Law) or equivalent professional experience
Good knowledge of the investment funds industry and securities market
Minimum 1 year of experience in the investment fund industry (for example on a position of a Fund Accountant)
Fluency in English language is mandatory
Knowledge of German or French will be considering as a strong advantage
Good knowledge of PC applications (Word, Excel, PowerPoint) and knowledge of financial applications (Bloomberg, etc.) would be considered as an advantage
Outstanding analytical and problem solving skills
Highly accurate, dedicated to quality and stress resilient

Associate Director, Investment Compliance Resume Examples & Samples

Define project scope for the region
Assist in defining project requirements from compliance perspective
Assist in defining the standard user settings
Analyze the system flow which relates to compliance
Coordinate with global team to set a global standard in term of investment compliance, in particular, to develop an automated and scalable solution, and to minimize manual process to mitigate operational risk
Oversee the system implementation for the region
Coordinate and develop a solution for centralized dealing in Asia
Assist in other compliance tasks as assigned from time to time
Understanding of front office trading system
Analytical/Audit/Law/Compliance background; preferably with accounting / finance / legal designation
Approximately 10 years of Compliance experience with asset management companies / financial intermediaries or regulator
Ability to demonstrate a high degree of initiative and a strong commitment to meeting deadlines

Director, Investment Compliance Resume Examples & Samples

Assist the Director with the implementation of enhancements to the software system
Liaise with Legal and senior management team to resolve APs’ policy related problems
Participate in the development, documenting and updating of the Code of Ethics monitoring desktop procedures
Assist with Ethics Hotline investigations
A minimum of a Bachelor Degree (in finance, accounting, business or law) is required
6-8 years of working experience, with at least last 4 years in compliance, legal, audit or regulatory field
The candidate should be self-confident, energetic, have an inquisitive mind, and be controls conscious
Excellent project management, organizational and analytical skills
Demonstrated ability to independently manage a diverse and demanding workload; effective decision-making and prioritization of workflow skills
Self-motivated and able to work within tight deadlines

Investment Compliance Analyst Resume Examples & Samples

Great communication (verbal and written), attention to detail (accuracy), ability to multi-task and prioritize work, time management and organization skills
Analytical skills are also required to review and resolve exceptions
A general understanding and knowledge of Trust and Custody services for Wealth Management clients is preferred
Proficient in Trust Servicing, Northern Imaging/V-Space, Passport, Microsoft Excel, Word & PowerPoint are strongly preferred
A College/University degree is required
At least 2+ years of financial trust and custody services, investments, security industry or other related client servicing experience preferred but not required for consideration

Investment Compliance Officer Resume Examples & Samples

Design, implement and enhance company's Compliance Program whilst ensuring its alignment with business objectives and Group Investment Compliance's strategic directions
Work with key business stakeholders to implement an effective compliance risk assessment program
Responsible for development of relevant investment compliance procedures according to regulatory Group Investment Compiance's requirements
Responsible for the effective communication of compliance matters in investment area including timely and accurate reporting and/or escalation of such matters in accordance with relevant reporting and escalation protocols

Investment Compliance Manager Resume Examples & Samples

Act as key manager, assisting in the management of the day to day to day affairs of the Investment Management Compliance function of the firm
Commensurate with experience, potentially be responsible for the management of other Compliance team members
Manage, and continually enhance, a monitoring and testing program and perform testing of various controls in accordance with the Rule 38a-1 and 206(4)-7 and CPO Compliance Programs, report results and provide any recommendations
Prepare certain Fund and Adviser Board and governance materials, including the production of annual review reports for the Boards of the registered investment adviser, and mutual funds, and other reporting as needed
Assist with annual due diligence of mutual funds’ service providers including sub-advisers, fund administrators, transfer agents, distributors
Keep current on laws and regulations, particularly those promulgated by SEC (and other regulators and SROs such as the CFTC and NFA) which may affect the investment adviser, commodity pool operator and mutual funds
Assist in the maintenance of compliance policies and procedures, and provide compliance guidance to staff in the Investment Management Department
Assist Compliance and Operations staff with regulatory filings (e.g., Form ADV, Form PF, 7R, 8R, PQR etc.)
Assist with development and delivery of training for investment staff
Perform other investment compliance related duties, as assigned
Bachelor’s degree required, other degrees, certifications experience and training, a plus

Fiduciary Investment Compliance Specialist Resume Examples & Samples

3-5 years' experience in financial services
Legal Background or Law degree preferred
Some knowledge of investments and/or fiduciary law a plus

Investment Compliance Specialist Resume Examples & Samples

College degree from an accredited institution or equivalent work experience
5-7 years of business experience with two years of securities related experience and familiarity with accounting principles
Must be analytical, detail oriented, organized. Must be able to meet deadlines and handle multiple priorities
Maintains or will obtain FINRA Series 7, 63, 24, 65 registrations, as well as State of Hawaii Life and Accident and Health Insurance Licenses

Investment Compliance Senior Manager Resume Examples & Samples

Be a key Investment Compliance liaison for investment management functions across the Asia Pacific region, particularly portfolio managers, traders and corporate finance teams, for providing advice, guidance and compliance support on various day to day matters
Actively support development, review and implementation of changes to policies and procedures related to investment management functions to ensure compliance with applicable regulations. You may also be required to coordinate regionally / globally and support implementation of internal policies and procedures applicable to the investment management functions
Keep abreast of, monitor, and analyze regulatory trends and changes in various rules and regulations impacting the investment management functions and work closely in advising the management team, including internal stakeholders, of the impact of such trends and changes
To collaborate and partner with legal, local compliance and other oversight teams across the region / globally to represent the investment compliance function on various regulatory and policy related discussions
Collaborate actively with investment compliance team members and colleagues from other departments to provide compliance and regulatory advice and support for development of any new investment product, business initiatives and any regional / global projects as may be required from time to time
Provide support on various regulatory inquiries, particularly related to the investment management activities
Contribute to the development of compliance training programmes across the investment management function
Provide a high quality timely service to various internal stakeholders
Actively participate in relevant investment and compliance projects and range of other FIL-wide projects or tasks as may be required from time to time

Investment Compliance Officer Resume Examples & Samples

Completion of branch reviews to ensure that branch activies are conducted according to firm policies and regulatory requirements
Report findings to management and follow-up on management responsesof the branch reviews in a accurate and concise
Compliance monitoring and reporting of findings
Keeps stakeholders informed of work in progress
Must be willing to travel on occasions primarily in Alabama and Florida; possibly throughout the footprint. Travel is expected to be 20 - 25% per year
Position can be located in Birmingham, Alabama, Houston, Texas, or Dallas, Texas

Head of Investment Compliance Resume Examples & Samples

Manage the Europe Investment Compliance team so that they provide an effective advisory and assurance function covering all Front Office activities
Lead and coordinate the regulatory oversight and support, including technical advice, provided by Europe Investment Compliance to the business, primarily the Front Office
Enhance the profile and visibility of the Europe Investment Compliance function, developing the role of business partner and trusted advisor
Set priorities and goals for the Europe Investment Compliance function in the context of global team and corporate priorities; lead and manage resources effectively so that deliverables are met
Work in partnership with the Front office and senior management to resolve regulatory issues
Participate as a key member of the team in the implementation of regulatory developments and consultations (e.g. MiFID II)
Act as the central point of contact for investment compliance matters across the Europe business
Sponsor/manage projects with relevance to the Europe Investment Compliance function
Oversee the preparation and collation of management information and reports, including board reports
Develop and maintain effective relationships with internal and external stakeholders (e.g. regulators, external auditors, depositaries/trustees, etc.)
Participate fully in global and regional oversight committees, and other relevant forums and day-to-day interaction with staff
In collaboration with the global and regional Heads of Investment Compliance, promote cross-region coordination of global policies and procedures and the implementation of best practice

Investment Compliance Officer Resume Examples & Samples

Reviewing compliance exceptions in a timely manner/within established deadline, providing subject matter expertise and communicating critical information to investment personnel
Assisting investment personnel with questions, issues and requests related to investment and operational restrictions applicable at the portfolio and/or firm wide level
Making critical, time-sensitive decisions to advance the trading process while also protecting the integrity of the investment compliance monitoring program
Developing a proficient understanding of the investment compliance systems, Charles River, other in house systems and JPM Trac and posting compliance rules additions/modifications to the compliance systems as required
Routinely discussing issues with the trading desk to ensure service levels and to develop, negotiate and implement process improvements designed to improve the overall trading/compliance process
Responding to and helping to resolve trading issues and provide interpretive guidance on the trading manual matters as well as investment and operational restrictions
Works collaboratively with Legal Investment Compliance in Baltimore and Hong Kong and assists where necessary, including public holiday cover
Providing Investment Personnel with investment guidelines or prospectus language interpretation, giving advice on pre-trade and post-trade guideline questions and providing appropriate resolution to actual or potential violations. Involved in the process from initial identification of issue to resolution
Taking primary lead on EMEA Investment Compliance review of new account guidelines as part of the client take on process to determine applicable compliance restrictions with a view to coding CRD
Takes responsibility for interpreting client rules and coding new accounts in to CRD for the EMEA region, and updating rules and coding on an ad-hoc basis
Assists in researching IPOs, private placements and corporate actions and providing interpretive guidance on selling and transfer restrictions as they relate to the firm’s global client base; including safe harbours from US Securities law and relevant laws/regulations in other jurisdictions
Works with Compliance Managers to develop and enhance procedures for the business to ensure compliance with regulatory or market developments. Documenting and administering procedures as required

Consultant, Investment Compliance Resume Examples & Samples

A College or University degree and/or relevant work experience
Minimum of 3 years of professional experience
Excellent organizational and project management skills
Analytical and problem-solving skills
Knowledge of mutual fund operations
Ability to work independently and part of collaborative groups
Ability to interact appropriately with clients and management of all levels
Familiarity with post-trade compliance processes and systems, especially Charles River, is preferred
Knowledge of the Investment Company Act of 1940, as amended, is preferred
Ability to work independently to learn regulations is required upon hire

Investment Compliance Officer Resume Examples & Samples

Ensures that the appropriate principles of management and control are observed in the implementation of policies and procedures. These principles include separation of functions, clear assignment of responsibilities, measuring results against standards and reporting outcomes
Ensures that quality control (transactional) testing is conducted as appropriate to detect deviations of actual transactions from policies or standards and that the results of such tests are included, and other management reports are properly addressed, escalated when necessary, and resolved by the responsible business people
Ensures that there is timely and appropriate review of material and repetitive compliance issues as indicators of possible gaps and weaknesses in policies and procedures or risk identification processes, and facilitates the use of such information in keeping IMD's compliance program up-to-date
Addresses the risk of fraud and undertakes periodic analyses and evaluations of compliance issues together with the results of appropriate forensic testing conducted by IMD Compliance staff as a means of obtaining additional or corroborating evidence regarding both the effective functions of IMD's compliance program and the possible existence of disguised or undetected compliance issues
Ensures that all persons within IMD holding compliance responsibilities are competently and fully performing those functions
Ensures that IMD Staff are appropriately trained in compliance and ethics-related matters. A key component of this is IMD's annual ethics training program
Serves as Audit Focal Point for the Board of Auditors and the Office of Internal Oversight Services, facilitating and coordinating the activities of such examinations including the resolution of findings and observations
Provides general oversight and coordination of IMD's Business Continuity and Disaster Recovery plans. Develops, maintains and tests IMD's Business Continuity Program to identify, document and assess business needs against IMD's infrastructure, and to identify recovery strategies and gaps
Ensures that IMD's basic responsibilities as a signatory to the UN-endorsed Principles for Responsible Investment (PRI) initiative are met, to include completion of the PRI annual survey and participation or direction in PRI activities
Ensures oversight and maintenance of IMD's proxy voting services to ensure that they are timely and accurate

AVP, Investment Compliance Resume Examples & Samples

Compliance Department Program
Post secondary education
Successful completion of industry courses including derivatives courses
Ten years of experience required in the mutual fund, asset management or securities industry
Five years people management experience
Five years of experience in a compliance function
Prior extensive experience in the management of investment compliance related activities, and deep knowledge of investment asset classes (equity, fixed income, alternatives and derivatives)
Excellent interpersonal, proactive engagement, people management and organizational skills
Ability to present complex technical information clearly and accurately
Ability to persuade others to a point of view
In depth knowledge of Canadian securities laws and regulations, including derivatives trading rules; knowledge of US and international regulatory environment
Knowledge of industry practices
Ability to identify compliance issues
Ability to assess compliance risk to prioritize problems
Strategic thinker
Relationship builder
Ability to cooperate in a team environment and work independently
Demonstrate flexibility, enthusiasm and a willingness to learn

Investment Compliance Consultant Resume Examples & Samples

Act as subject matter expert for NT’s Compliance Product offering
Attend client meetings
Provide custom client solution support
Familiarity with investment manager guidelines and language used in investment manager agreements
Knowledge of financial markets, investment instruments and portfolio management strategies
Knowledge of fixed income and derivatives asset classes would be advantageous
Familiarity with various investment styles, asset classes, strategies for achieving performance goals, benchmarks, and investment related terminology
Interest in researching topics, such as substantial shareholder limits and other topics related to our clients’ investment requirements for their global investments
Experience with industry vended compliance monitoring systems such as Charles River, Bloomberg POMS, RCB Dexia, etc. and/or Mutual Fund
Compliance and Risk Monitoring experience is a plus

Investment Compliance Senior Specialist Resume Examples & Samples

Work on complex, strategic projects and significant regulatory initiatives
Actively review and monitor numerous clients' investment guidelines and regulatory restrictions (e.g., Investment Management Agreement, Prospectus, Statement of Additional Information)
Review and analyze the daily investment compliance monitoring of clients' portfolios and regulated entities employing a variety of automated and manual processes
Review, identify and research compliance exceptions from which independent conclusions are made and reasonable solutions are proposed to the senior managers
Draft and review business requirements and provide feedback of key rules/reports utilized for compliance monitoring to ensure accuracy of the applicable requirements
Work with others in Compliance and across MFS in the review and comment of client investment guidelines and RFPs

Investment Compliance Lead Resume Examples & Samples

Demonstrated experience providing customer-driven solutions, support or service
Demonstrated experience partnering effectively with all levels of management
Demonstrated management or leadership experience
Demonstrated experience with buy-side Order Management Systems (i.e. CRD, Thinkfolio, Eze Castle, BlackRock Aladdin, Bloomberg AIM, etc.)
Solid knowledge and understanding of Investment Advisers Act of 1940, Investment Company Act of 1940, ERISA, State Insurance Regulations, AML, KYC, Sanction Monitoring, and/or designing/executing Policies and Procedures
Solid knowledge and understanding of various investment types and strategies
Solid understanding of investment products and securities regulation
Strong understanding of a trading lifecycle

Investment Compliance Analyst With German Resume Examples & Samples

Carry out compliance operations on the funds in order to ensure that fund’s assets comply with legal and investment policy requirements
Perform investment compliance controls using a dedicated IT tool
Analysis of the contractual and legal requirements and implementation into the compliance monitoring system
Setup and maintenance of funds master data and investment compliance rules in a dedicated IT tool
Contribute to the completion and maintenance of operational procedures in Depotbank Compliance scope
Support the integration of the new client’s operational activity
Administer the effectiveness of daily operations in your area
Cooperate on the delivery operational service levels agreed with clients, internally and externally
Take part in the development of new products and services

Investment Compliance Manager Resume Examples & Samples

Supervise the daily activities of the Investment Compliance Analysts, provide training, cross-training and support as necessary, and ensure appropriate coverage and distribution of workload
Along with the Investment Compliance Analysts, perform various compliance reviews and prepare / issue reports in accordance with the Investment Compliance Calendar, in order to identify and document compliance concerns and violations, including
Minimum of 5 years’ compliance, legal or regulatory experience in financial services industry
Knowledge of mutual fund industry/regulation strongly preferred
Strong research, organizational and follow-up abilities
Self-starter / reliable
Proficient in Microsoft Word, Excel and PowerPoint
Ability to quickly gain proficiency in other computer-based systems (Portfolio Accounting System, Bloomberg, etc.)
Willing to travel to Edison office, the offices of service providers, and conferences as required

Investment Compliance & Global Data Maintenance Departments Manager Resume Examples & Samples

Ensuring processes’ efficiency and time management of the Investment Compliance and Global Data Maintenance teams
Leading the continued growth of the Investment Compliance and Global Data Maintenance teams via recruitment, capacity and budgeting support
Ensuring adherence to legacy location requests and instructions
Leading the standardization of investment compliance and global data maintenance tasks
Driving the development of the DFS Warsaw Investment Compliance and Global Data Maintenance tasks to ensure that the teams are seen as a valuable members of DFS
Liaising with senior legacy location management on an on-going basis and act as their key point of contact
Managing the resources of the department effectively so that all number of changes are dealt without any service delivery degradation
Monitoring KPI’s and KRI’s
Proactively supporting Head of DFS Poland in any BAU topics, crisis management, meetings and projects
Organizing monthly staff meetings, regular feedback sessions to staff, twice yearly appraisals, ACE and improvement brainstorming and reviews strong industrial training induction for new staff, succession planning and career development
Ensuring all staff are trained, developed and coached so that there is rich, timely and professional communication and collaboration between the departments

Intermediate Investment Compliance Officer Resume Examples & Samples

Assists in completing and updating as appropriate all filings to ensure that AEGON USA Investment Management, LLC (AUIM) is in compliance with federal and state regulatory requirements, including the Form ADV Part I and II
Assists in maintaining code of ethics, insider trading, and all applicable policies, including maintaining Compliance Manual in accordance with SEC regulations and consistent with AUIM practices
Assists in review of marketing and advertising materials to ensure consistency with SEC requirements
Participates in communications, including in person meetings when appropriate, with compliance and law professionals for other AEGON member companies to assure consistency and efficiency in compliance matters
Bachelor’s degree in business or related field, or equivalent education and experience
Minimum of 2-4 years relevant work experience in the insurance industry in legal research, legal contacts, compliance, claims or underwriting
Proficiency in prioritizing and managing multiple tasks simultaneously under tight deadlines
Proficiency in writing, editing, and proofreading skills with aptitude to review technical materials
Detail oriented and strong analytical skills
Ability to develop strong working relationships and influence others on compliance matters
Prior experience administering marketing reviews
Compliance experience with a broker dealer, major insurance company, banking institution, or regulatory agency will be considered
Experience with a firm serving both affiliated insurance companies and non-affiliated institutional clients

Investment Compliance Paralegal Resume Examples & Samples

Coordinates with Investment Team to review, complete, organize, and maintain confidential Company investment files, which includes reviewing KYC documentation related to Company investments, confirming and certifying receipt of required documentation, and completing and archiving related checklists
Develops and maintains procedures for cataloging, indexing, and naming documents filed in an electronic investment files database; regularly reviews permissions for access to database by Company personnel; provides guidance to Investment Team to ensure consistency in applying procedures to new and existing documents for historical purposes
Drafts legal memoranda regarding compliance of investments with applicable insurance law
Coordinates with other department representatives within Guggenheim Insurance to ensure newly created documents are appropriately cataloged and maintained and practices are applied consistently across insurance entities
Responds to inquiries and retrieves documents as requested by external auditors, insurance regulators and authorized Guggenheim Insurance personnel
Learns other legal/compliance department functions in order to back-up legal/compliance department members who have primary responsibility for these functions
May assist with large legal/compliance projects, such as production of documents related to litigation matters, regulatory inquiries, and complying with subpoena requests and participate in other projects within the legal/compliance department
Experience supervising other professional staff and/or leading project teams across multiple departments is helpful but not required
Must demonstrate sound judgment and analytical skills with ability to work independently with a high degree of accuracy