Investment Management Compliance Resume Samples

The Guide To Resume Tailoring

Guide the recruiter to the conclusion that you are the best candidate for the investment management compliance job. It’s actually very simple. Tailor your resume by picking relevant responsibilities from the examples below and then add your accomplishments. This way, you can position yourself in the best way to get hired.

Craft your perfect resume by picking job responsibilities written by professional recruiters

Pick from the thousands of curated job responsibilities used by the leading companies

Tailor your resume & cover letter with wording that best fits for each job you apply

Resume Builder

Create a Resume in Minutes with Professional Resume Templates

CHOOSE THE BEST TEMPLATE - Choose from 15 Leading Templates. No need to think about design details.

USE PRE-WRITTEN BULLET POINTS - Select from thousands of pre-written bullet points.

SAVE YOUR DOCUMENTS IN PDF FILES - Instantly download in PDF format or share a custom link.

Create a Resume in Minutes

D Douglas

Dalton

Douglas

286 Bins Camp

Chicago

+1 (555) 184 0243

286 Bins Camp

Chicago

Phone

p +1 (555) 184 0243

Experience Experience

Boston, MA

Investment Management Compliance Officer

Boston, MA

O'Connell and Sons

Boston, MA

Investment Management Compliance Officer

Planning/performing annual compliance monitoring and testing program
Monitoring/evaluating impact of change in related laws and regulations
Reviewing/updating policies and internal rules and procedures
Preparing/filing reports/notices with the regulators
Planning/providing compliance trainings
Communicating with regulators
Taking a lead on particular local/global projects on compliance related matters

Detroit, MI

Investment Management Compliance Advisory Manager

Detroit, MI

Goldner-Towne

Detroit, MI

Investment Management Compliance Advisory Manager

Provide advice to the Sales and Marketing Teams on sales and marketing campaign for Singapore retail investors
Review relevant MAS consultation papers and study and consider impact to the business. Provide our comments to the MAS
Provide guidance and advice to the regional institutional businesses in respect of the cross-border activities
Keep the Head of IM Compliance, Singapore updated of significant issues and provide consultation on a timely basis
Execute and maintain the compliance monitoring program to ensure regulatory risks are effectively monitored
Advise and handle licensing related matters for staff and the business
Advise, review and monitor staff activities with regard to company policies addressing conflict of interest matters (such as personal account trades, gifts and entertainment etc)

present

Los Angeles, CA

Director of Investment Management Compliance

Los Angeles, CA

Purdy, Glover and Kozey

present

Los Angeles, CA

Director of Investment Management Compliance

present

Work closely with portfolio managers, traders and other advisor professionals to design and implement operational policies and procedures
Knowledge of the operation and utilization of proprietary Mutual Funds within a bank/ trust company/wealth management environment is helpful
Oversight and implementation of relevant SEC, NFA/CFTC developments and industry best practices
Oversight and implementation of the testing program for the firm’s proprietary mutual funds and Registered Investment Adviser
Potentially serve as the Mutual Fund and/or Registered Investment Adviser Compliance Officer
Responsible for 38a-1 and 206(4)-7 annual certification (s)
Conducting regulatory readiness exercises and mock exams as they relate to the SEC, NFA/CFTC

Education Education

Bachelor’s Degree in Organization

University of Memphis

Bachelor’s Degree in Organization

Skills Skills

Strong attention to detail
Great interpersonal skills
Ability to manage a small team
Knowledge of the operation and utilization of proprietary Mutual Funds within a bank/ trust company/wealth management environment
Highly organized
Excellent communication skills (written and verbal)
10+ years of experience
Buy-side compliance experience covering Mutual Funds and SMAs
Experience in the mutual fund industry or a major investment advisor

Create a Resume in Minutes

Read our complete resume writing guides

Investment Management Compliance Testing Professional Resume Examples & Samples

Execute risk-based compliance testing and forensic testing to review and assess the effectiveness of the firm’s policies and procedures in compliance with Rules 38a-1 and 206(4)-7, including recommending corrective action plans for gaps
Coordinate with Investment Management testing personnel globally to track the progress of the test plan for reporting to the CCO, senior management and registered mutual funds’ Board
Track internal audit reviews and findings and review internal audit workpapers to identify opportunities to leverage their reviews for compliance testing
Remain current on industry rules, regulations and best practices to make recommendations to the testing program
Assist in coordinating the compliance component of the SSAE 16 review and other
BA/BS required with a concentration in Accounting or Finance a plus
4 to 6 years’ experience in similar role in investment management
Experience working with medium to large sized investment management firms with diverse business lines is preferred
Strong analytical, organizational and problem solving skills
Ability to work with staff of all levels across departments
Proficiency with Microsoft Word, Excel, PowerPoint, Adobe, SharePoint, Bloomberg, and ability to quickly learn automated systems, such as trade order management systems, portfolio accounting systems, pre/post trade surveillance systems and web applications

Investment Management Compliance Officer Resume Examples & Samples

Oversight of the preparation of mutual fund board materials
Review of compliance policies and procedures, quarterly certifications and due diligence questionnaire responses to determine adequacy
Keep updated on relevant SEC, NFA/CFTC developments and industry best practices
Assist, enhance, implement, and oversee the testing program for the firm’s proprietary mutual funds and registered investment adviser to support the Chief Compliance Officer’s 38a-1 and 206(4)-7 annual certification(s)
Work closely with portfolio managers, traders and other adviser professionals to design and implement operational policies and procedures
Assist with the mentoring of junior staff members
Assist in conducting regulatory readiness exercises and mock exams as they relate to the SEC, NFA/CFTC
Support the ongoing sub-adviser due diligence program which may include some travel and understanding of sub-advisory agreements
Support mutual fund trading and operations through pre and post trade guideline monitoring, (experience with Bloomberg and Longview’s LVTS helpful)

Compliance Manager Investment Management Compliance Adviser Team Resume Examples & Samples

4 year Bachelor Degree; graduate degree or JD a plus
3 or more years of legal, risk, audit, regulatory compliance or financial services experience required
Experience preferred working with Investment Advisor and/or Bank regulations ( Reg 9 and other fiduciary rules) & Erisa matters or experience working with investments and discretionary investing
Proven track record in building good working relationships
Proven team player with strong interpersonal skills
Exposure to OCC or SEC regulatory examinations is desirable
An understanding of when issues require escalation
Strong verbal, written and interpersonal skills and the ability to liaise with all levels of management is essential
Maintaining a thorough and up to date understanding of investment adviser regulatory requirements and processes, including front office, operations and fund accounting. Maintaining an understanding of broker dealer requirements would also be beneficial
Strong attention to detail and strong analytical skills
Pro-active, motivated and enthusiastic
Working knowledge of Bloomberg and Microsoft Word, Excel and PowerPoint

Asia Head of Investment Management Compliance Resume Examples & Samples

At least 10 years of relevant work experience in the financial services industry in Compliance or with a securities exchange or securities regulator
Investment management or investment banking experience advantageous
Strong leadership skills and regional management experience
Excellent verbal and written English communication skills essential; fluency in Asian languages e.g. Mandarin and/or Cantonese advantageous

Investment Management Compliance Officer Resume Examples & Samples

Assuming the role of the primary compliance officer of Morgan Stanley Capital K.K., a Morgan Stanley group entity in Japan conducting real estate investment and advisory business and private equity business
Communicating with regulators
Preparing/filing reports/notices with the regulators
Reviewing/updating policies and internal rules and procedures
Planning/performing annual compliance monitoring and testing program
Planning/providing compliance trainings
Co-working with local legal and compliance colleagues on day-to-day matters/ for particular projects, as needed
Co-working with overseas affiliates’ compliance officers for global projects on compliance related matters
Monitoring/evaluating impact of change in related laws and regulations
Supporting compliance team of Morgan Stanley Investment Management (Japan) Co., Ltd., a Morgan Stanley group entity in Japan conducting investment management and investment trust business
As a right-hand person for the head of Legal and Compliance of Investment Management Department, co-working with and guiding compliance team members on particular matters, as needed
Taking a lead on particular local/global projects on compliance related matters

AML Advisory Investment Management Compliance Officer Resume Examples & Samples

UK or similar AML/KYC experience at a large financial institution
Strong time management skills and ability to execute tasks within tight deadlines
Strong leadership and execution ability
Great attention to detail and organisational skills
The ability to research and resolve issues independently while working across teams to acquire information

VP, Investment Management Compliance Resume Examples & Samples

Participate in the development, implementation and execution of a compliance program for Managed Futures and other Investment Management businesses
Review and analyze various pooled vehicle structure/products, including registered funds, unregistered products and separately managed accounts, to assess compliance with NFA, CFTC and SEC rules and regulations and internal firm policies
Provide guidance and recommendations to business unit personnel to promote compliance
Keep abreast of new regulations and communicate such updates to affected business areas to ensure that the firm has appropriate controls in place to remain compliant
Work closely with various internal and external parties including Marketing, the Legal Department, the Investment Teams and external regulators
7 to 10 years applicable experience
Extensive knowledge of NFA, CFTC and SEC regulations
Working knowledge of FINRA and ERISA regulation
Expertise in pooled vehicle products including registered funds and alternative investment products such as private equity funds, hedge funds, fund of hedge funds and REITS
Strong relationship building skills; ability to develop and foster trust-based relationships with the various business lines supported; ability to influence at all levels without direct authority

Director of Investment Management Compliance Resume Examples & Samples

10+ years of experience
Buy-side compliance experience covering Mutual Funds and SMAs
Ability to manage a small team
Law or Accounting Degree
Knowledge of the operation and utilization of proprietary Mutual Funds within a bank/ trust company/wealth management environment
Experience in the mutual fund industry or a major investment advisor

Rmg Investment Management Compliance Manager Resume Examples & Samples

Provide compliance support to the MFG teams in Europe and assist with regulatory issues relating to fund origination and distribution, institutional fund management and affiliates transactions
Carry out ongoing assessment of the compliance framework operating within the business and ensure adequate controls are established
Assist with the compliance review and approval of new transactions, products and funds
Assist with the review and approval of Financial Promotions
Liaise with compliance colleagues to assist with the delivery of an effective tailored training programme
The role will involve liaison with MIM senior management, Macquarie Compliance, Macquarie Bank International Limited Board of Directors and External Regulators
In-depth compliance experience gained within investment management industry (may include related experience in a legal or regulatory role)
Compliance experience gained within a financial services, legal, regulatory or consultancy environment
Demonstration of a solid understanding of FCA rules (particularly COB and COLL rules and the Treating Customers Fairly requirements) is highly desirable
Familiarity with UCITS and different fund structures
Experience in reviewing and approving financial promotions for regulatory compliance
Familiarity with the regulatory regimes of key European jurisdictions
Have an interest in working closely with the business
Take a pragmatic commercial approach to compliance whilst achieving the desired outcome
Project management and process review skills
Demonstrable research skills

Investment Management Compliance Testing Resume Examples & Samples

Participate in the development, implementation and execution of risk-based compliance testing to review and assess the effectiveness of the firm’s policies and procedures in compliance with Rules 38a-1 and 206(4)-7, including developing corrective action plans for gaps identified from testing
Prepare written reports describing the tests conducted, results and corrective action plans
Perform quality assurance reviews of tests completed by other team members to ensure adherence to Firm testing standards
Team with Investment Management testing personnel around the globe to ensure consistent implementation and adherence to Firm testing policies and procedures and refine processes, as needed
Corroborate with Investment Management testing personnel around the globe to share test design and scope methods, identify common themes on test results to enhance the testing program across Investment Management Compliance
Remain current on industry rules, regulations and best practices to help ensure that the testing program meets regulatory standards in an evolving business environment
Liaise with internal audit to leverage their reviews for compliance testing
Prepare reports to the CCO, senior management and registered mutual funds’ Board on key testing metrics, test plan status updates and test results
7 to 10 years of experience in similar role in investment management
Experience working with medium to large sized investment firms with diverse business lines is preferred
Testing, surveillance or auditing experience a plus
Ability to work independently, as well, as in a team
High degree of organization and attention to detail

Investment Management Compliance Advisory Manager Resume Examples & Samples

Provide advice and support to the Sales and Marketing teams in respect of marketing materials for Singapore retail public and clients of the regional institutional businesses
Provide advice to the Sales and Marketing Teams on sales and marketing campaign for Singapore retail investors
Review and approve retail marketing materials in accordance with the MAS Advertising Guidelines, IMAS Code and applicable rules and regulations etc
Review and approve marketing materials for clients of regional institutional businesses through liaising with global teams and in accordance with the internal policies and any applicable regulatory guidelines, directives etc
Provide guidance and advice to the regional institutional businesses in respect of the cross-border activities
Provide regular training to Sales and Marketing staff on MAS Advertising Guidelines, related regulatory requirements, new regulations, internal policies, cross-border regulations etc
Advise, review and monitor staff activities with regard to company policies addressing conflict of interest matters (such as personal account trades, gifts and entertainment etc)
Provide training to new hires on company policies, regulatory requirements etc
Advise and handle licensing related matters for staff
Handle inquiries and questionnaires from MAS in relation to marketing materials, websites and funds’ matters etc
Review relevant MAS consultation papers and study and consider impact to the business. Provide our comments to the MAS
Strong knowledge of Singapore rules and regulations applicable to investment management business e.g. SFA/SFR, FAA/FAR, MAS Code on Collective Investment Schemes, IMAS Code of Conduct, IMAS / MAS Advertising guidelines, regulatory directives, rules and regulations governing marketing activities in the region etc
Strong attention to details and quality
Fluent in English. Proficient in Mandarin is an advantage

VP, Investment Management Compliance Resume Examples & Samples

Asia Lead for global and regional staff dealing initiatives and projects
Lead the HK IM Compliance PAD Team to pre-clear PAD requests and perform post trade monitoring
Provide advice to business and IM Compliance at various Asia locations on PAD matters
Perform trade surveillance in accordance with applicable regulations e.g. SFC Fund Manager Code of Conduct and US Investment Adviser Act 1940
Approximately 5 to 9 years relevant Compliance or regulatory experience
Strong knowledge of SFC rules and regulations applicable to investment management business [e.g. SFO, SFC Code on Unit Trusts and Mutual Fund, SFC Advertising Guidelines, SFC Code of Conduct, SFC Fund Manager Code of Conduct etc
Strong communication, report writing, interpersonal and influencing skills

Asia Investment Management Compliance Specialist Resume Examples & Samples

Partnership with senior management and the business and establish partnership with Controls functions to further enhance and strengthen the Asia Cross Border framework
Advise on regulatory related areas for in-country and out-country cross border activities and best practices to mitigate risks associated with marketing, foreign travel controls and related processes
Engage with Global Steering Committee and Project Working Groups on execution and deliverable of Compliance related projects
Support GIM Regional location officers on Cross Border marketing, outsourcing, data privacy related issues, provide oversight and be actively involved in execution when required
Carry out and deliver the Asset Management cross lines of business Compliance monitoring programme on a need to basis
Assist in consistent application of Compliance Policies and Procedures across GIM
Advise business on Compliance Policies and Procedures and any relevant regulatory developments impacting the business areas
Advise the management to expand Southeast Asia businesses
Advice on outsourcing, data privacy and marketing matters
Deliver Compliance training
Keep the Head of IM Compliance, Singapore updated of significant issues and provide consultation on a timely basis
Minimum 5 to 10 years of experience in Compliance, Audit, Risk and Controls
Experience of cross border and compliance advisory work would be preferred but other relevant compliance backgrounds will be considered
Degree in law, accounting or finance related subject
Exercises good judgment and ability to think out of the box
Team-player who likes to share knowledge and ready to learn from others
Strong communication, report writing, interpersonal and influencing skills. The candidate should have the ability to establish credibility and strong partnerships with business leaders, control functions and corporate partners

Associate, Investment Management Compliance Resume Examples & Samples

Perform Personal Account Dealing approval and monitoring
Execute the compliance surveillance program to check regulatory/compliance controls for compliance with relevant regulations and internal policies and procedures
Perform trade surveillance
Liaise with fund managers, dealers and other control parties to resolve breaches and errors
Substantiate and report results and findings of surveillance tasks to management in a precise and concise report format
Review the Continued Professional Training (CPT) records for licensed persons to ensure they fulfill the minimum requirements
Extract and compile information for responding to regulatory inquiries in a timely and accurate manner enabling replies to be sent within the stipulated timeframe
Carry out ad-hoc compliance tasks as required

Investment Management Compliance Advisory Manager Resume Examples & Samples

Provide guidance on proper applications and interpretation of laws and regulations applicable to the sales and marketing activities for the investment management business
Execute and maintain the compliance monitoring program to ensure regulatory risks are effectively monitored
Conduct independent monitoring over marketing materials distributed to clients to ensure compliance with local advertisement rules, best practices and applicable internal and external requirements
Assist Head of IM Compliance, Singapore, to establish and maintain effective processes to ensure that there are adequate controls to mitigate compliance and regulatory risks
Provide training to staff and new hires on company policies, regulatory requirements etc
Monitor for regulatory reforms that may impact investment management business, and provide proactive and timely identification, dissemination and advice of regulatory changes and associated risks
Participate in new product or business initiatives to ensure that they are in compliance with regulatory requirements
Approximately 6 to 10 years working experience in compliance function within the financial industry (preferably investment management firms)
Strong knowledge of Singapore rules and regulations applicable to investment management business such as but not limited to: Securities and Futures Act and its Regulations, Financial Advisers Act and its Regulations, CPF investment rules, MAS Code on Collective Investment Schemes, IMAS Code of Conduct

Morgan Stanley Investment Management Compliance Advisory Resume Examples & Samples

Provision of advice concerning regulatory matters and internal Morgan Stanley policies and procedures whether in a structured context (e.g. standing business meetings) or ad hoc
Relationship management with investment teams, trading desks, product distribution and infrastructure functions; and
Liaison and coordination with regional and global Compliance, infrastructure group and business functions
Implementation of regulatory change e.g. MIFID2 and UCITS V
Tracking applicable regulatory Consultation Papers, notices and enforcement actions and identifying emerging themes or risks from areas of regulatory focus
Evaluating Compliance implications of the expansion of the MSIM branch network across EMEA
Providing advice with respect to new business activities or changes in MSIM business line processes; and
Development of appropriate Compliance management information including the production of annual and quarterly reporting to MSIM’s UK regulated entities’ Boards
Sound retail and institutional asset management regulatory knowledge
Mid to Senior level operating experience in asset management Compliance gained within a major UK regulated entity
Practical experience of working in a cross-regional context
Technical expertise with respect to relevant laws and regulations
Project management and organisational skills
Excellent presentation skills - ability to communicate clearly and concisely both in person and in writing
Able to use initiative and apply judgment; and
Self-motivation

Director of Investment Management Compliance Resume Examples & Samples

Potentially serve as the Mutual Fund and/or Registered Investment Adviser Compliance Officer
Oversight of the preparation of mutual fund board materials
Oversight and implementation of compliance policies and procedures, quarterly certifications and due diligence questionnaire responses to determine adequacy
Oversight and implementation of relevant SEC, NFA/CFTC developments and industry best practices
Oversight and implementation of the testing program for the firm’s proprietary mutual funds and Registered Investment Adviser
Responsible for 38a-1 and 206(4)-7 annual certification (s)
Work closely with portfolio managers, traders and other advisor professionals to design and implement operational policies and procedures
Managing a Team and mentoring junior staff members
Conducting regulatory readiness exercises and mock exams as they relate to the SEC, NFA/CFTC
Supervise ongoing sub-advisor due diligence program which may include some travel and understanding the sub-advisory agreement
This individual should be approachable, dedicated, thoughtful, and diligent
Ability to identify and escalate issues where appropriate, as well as take a diplomatic approach in working with Investment Management staff at all levels
Ability to effectively present to Board of Directors and Senior/Executive Management
Knowledge of the operation and utilization of proprietary Mutual Funds within a bank/ trust company/wealth management environment is helpful
Ability to work well within a collaborative environment
Ability to successfully interact with regulators and auditors
Experience in the mutual fund industry or a major investment advisor will be a distinct advantage
A law or accounting degree would be beneficial but not required for this position

Analyst, Investment Management Compliance Resume Examples & Samples

On-boarding and maintenance of employees’’ personal trading accounts
Approximately 3 to 5 years relevant Compliance, regulatory, audit experience or control/operational experience in financial institutions
Degree in accounting or finance related subject
Ability to work independently and under pressure
Fluent in English and Cantonese. Proficient in Mandarin is an advantage

Investment Management Compliance Testing Officer Resume Examples & Samples

Track status of corrective action plans agreed upon with the business
Track internal audit reviews and findings and review internal audit work-papers to identify opportunities to leverage their reviews for compliance testing
Assist in coordinating the compliance component of the SSAE 16 review and other internal/external audits/reviews
3 to 5 years experience in similar role in investment management
Testing, surveillance, operational risk or auditing experience a plus
Knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940 and applicable securities laws, FINRA and Department of Labor’s ERISA regulations
Ability to prioritize and work effectively on multiple reviews with different individuals at the same time

Bank Discretionary Investment Management Compliance Director Resume Examples & Samples

Providing general guidance on a broad array of laws/regulations/exemptions governing discretionary investment management offered through a national bank including direct interface with senior business management, committee meetings and working groups
Developing Compliance policies on Discretionary Investment Management products and services
Integrating compliance requirements into line of business policies, procedures, controls and training, and ensuring consistency and best practices across jurisdictions where applicable
Researching and responding to compliance queries
10 or more years of legal, risk, audit or regulatory compliance experience within a financial services firm setting with focus on bank-side discretionary investment management account support
Fluency in OCC Reg 9 , and its application to national bank associations acting in a fiduciary capacity or expertise in Registered Investment Advisory fiduciary principles is strongly preferred
Law degree and Law firm or financial services firm experience as an attorney is desirable
Securities law experience
Proven track record in building good working relationships
An understanding of when issues require escalation

Investment Management Compliance Resume Examples & Samples

5-10 years project management and/or new product approval experience
Working knowledge of applicable laws and regulations pertaining to the Investment Management industry
Strong project management skills, organizational, problem-solving and planning skills, including the ability to multi-task and prioritize various projects
Ability to think and plan strategically as well as the ability to execute tactically
Effective team player, able to work with and influence people of all levels both internally and externally; Also, able to work independently, when needed
Analytical ability to synthesize information and summarize key issues
Ability to quickly develop a deep knowledge of the company, Industry, products and services
Proficiency with personal computers and software packages including Microsoft Excel, Word, PowerPoint, MS Project and Visio
Strong academic background (MBA, other advanced degree, or PMP certification are a plus)