Investment Compliance VP
A company is looking for a VP, Investment and Trading Compliance. Key Responsibilities Review fund prospectuses and develop compliance rules within Bloomberg AIM and internal order management systems Monitor daily trade order management exception reports for adherence to investment guidelines Identify and communicate compliance violations to trading and investment management teams Required Qualifications Bachelor's degree required Five to 10 years of direct experience in a comparable role at an investment management firm Strong computer proficiency, including familiarity with Microsoft Word Working knowledge of SEC rules and regulations applicable to mutual funds and ETFs is preferred Ability to manage and prioritize multiple projects simultaneously
A company is looking for a VP, Investment and Trading Compliance.
Key Responsibilities
Review fund prospectuses and develop compliance rules within Bloomberg AIM and internal order management systems
Monitor daily trade order management exception reports for adherence to investment guidelines
Identify and communicate compliance violations to trading and investment management teams
Required Qualifications
Bachelor's degree required
Five to 10 years of direct experience in a comparable role at an investment management firm
Strong computer proficiency, including familiarity with Microsoft Word
Working knowledge of SEC rules and regulations applicable to mutual funds and ETFs is preferred
Ability to manage and prioritize multiple projects simultaneously
