Explore Legal.io

For Clients
For Members
Advertise on Legal.io

For Clients

Hire Talent
Popular Roles
Data & Tools
Company logo

Investment Portfolio Compliance Manager - 152896

$135,000 - $160,000
Posted Feb 03
Contract
Boston, Massachusetts

Our client is an investment management firm located in Boston, MA. They partner to fulfill the investments of their clients worldwide and are seeking an Investment Portfolio Compliance Manager to join their team.

Salary/Hourly Rate

$135k - $160k plus Bonus

Position Overview

The Investment Portfolio Compliance Manager's responsibilities include coding, monitoring, and maintaining client investment guidelines and partnering with investment professionals to resolve guideline exceptions. This Investment Portfolio Compliance Manager role will also include oversight of compliance specialists to ensure timely and appropriate responses to system alerts.

Responsibilities Of The Investment Portfolio Compliance Manager

  • Comment on new and amended proposed guidelines during the Client Intake process.
  • Code new and amended guidelines.
  • Validation of guideline coding.
  • Oversee and assist Compliance Specialists to ensure timely and appropriate responses to system alerts.
  • Work with members of the investment teams to cure guideline issues.
  • Seek guideline clarifications, amendments, and waivers from clients as necessary.
  • Provide staff with training and guidance.
  • Ad hoc compliance projects as necessary.

Qualifications for the Investment Portfolio Compliance Manager:

  • 8 - 10 years of investment adviser guideline compliance experience.
  • 3 - 5 years of managing employees.
  • Work both independently and in a team environment.
  • Rule coding knowledge of CRD, Sentinel, Aladdin, Bloomberg, MIG 21, Linedata, or Eze Compliance.
  • Fixed income securities, equities, and derivatives working knowledge.
  • Knowledge of the Investment Company Act of 1940 and the Investment Advisers Act of 1940.
  • Proficiency with Microsoft Excel and Word.
  • Equity and fixed-income securities and prior experience with derivatives.

Education Requirements:

  • Bachelor's degree in a business-related field is required.
  • MBA is preferred.

Benefits:

  • Medical insurance plan options.
  • Dental insurance.
  • Voluntary supplemental health plans.
  • Company-paid group term life insurance.
  • Voluntary supplemental group term life insurance.
  • Company-paid short-term disability and long-term disability.
  • Company-paid accidental death and dismemberment.
  • Voluntary supplemental accidental death and dismemberment.
  • Voluntary supplemental long-term disability coverage.
  • Profit sharing plan.
  • 401(k) plan.
  • Holidays, annual vacation allowance, and personal days.
  • Paid sick time.
  • Parental leave benefits.
  • Tuition reimbursement plus many more!

By applying to this job, you agree to receive calls, AI-generated calls, text messages, and/or emails from Atrium and its affiliates, and contracted partners. Frequency varies for text messages. Message and data rates may apply. Carriers are not liable for delayed or undelivered messages. You can reply STOP to opt out on any message you receive. For more details, please review our Terms of Use and Privacy Policy .

As a woman-owned firm, we value diversity. We are an equal opportunity and affirmative action employer and will consider all applications without regard to race, sex (including gender, pregnancy, sexual orientation and gender identity), age, color, religion or creed, national origin or ancestry, veteran status, disability (physical or mental), genetic information, citizenship or any other characteristic protected by law. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Candidates who apply for roles through the Atrium website will be added to our candidate pool and may be considered for additional roles of a similar title. Please contact us to request an accommodation.

EOE/M/F/D/V/SO

Position ID: 152896