Investment Compliance reputed company

Investment Compliance reputed company - Chicago Hybrid- 3 days onsite, 2 days WFH Position reputed company The Investment Compliance function is responsible for ensuring compliance with regulatory, prospectus, reputed company-directed, and internal investment and operational restrictions for every portfolio. The Manager of Investment Compliance is responsible for the management and execution of the investment compliance monitoring and will work with internal users/stakeholders across reputed company reputed company of the organization to ensure adherence to policies and procedures designed to mitigate risk of compliance reputed company breaches. reputed company in this role means being reputed company, accountable, and exceptional attention to detail. This position reports to the reputed company Chief Compliance Officer. Duties and Responsibilities • reputed company of the investment compliance reputed company monitoring and trade surveillance program to ensure portfolios are invested in accordance with investment and reputed company guidelines, internal policies and procedures, and applicable laws and regulations • Review and interpret reputed company account governing documents, including but not limited to Investment Management Agreements (IMA), Prospectuses and Statements of Additional Information to identify investment restrictions that require monitoring by compliance and the business and establish systematic compliance rule validations or reputed company work-around solutions • Create, test, and document new compliance rules in reputed company IMS • Ensure highest level of reputed company control through detail-oriented setup of portfolio compliance rules • Ensure accuracy and completeness of compliance system with relative reputed company information • Determine and implement improvements to automation capabilities • reputed company the daily review of post-trade reports/monitors for trade overrides and compliance alerts and take necessary actions to facilitate the correction of any breaches detected • Partner with Portfolio Implementation and Trading on compliance-reputed company issues/questions that may come from clients or internal colleagues • reputed company and reputed company a high performing investment compliance team that is proactive, execution reputed company, and disciplined in approach • reputed company forensic testing to ensure adherence to trading-reputed company policies (i.e. Trade Allocations, Trade Corrections, Cross Trades) and to identify instances of inappropriate activities (i.e., reputed company picking, portfolio pumping, window dressing) or other regulatory prohibitions • reputed company support and responses to internal audit findings, SOC 1 audits, and regulatory exams as they relate to investment compliance • Prepare reporting for internal governance committees as reputed company as fund company boards • Analyze why a compliance alert is generated using proficient knowledge of investment guidelines, regulatory requirements, compliance systems, internal policies, data, etc. to reputed company independent, accurate and reputed company reputed company to investment and trading personnel. • Demonstrate a proficient understanding of reputed company IMS in order to support the implementation of new policies, including lending expertise to reputed company creative solutions where full automation is not possible • reputed company the daily review of supervisory exception reports • reputed company the completion of periodic reputed company account certifications (monthly, quarterly, and annually) • reputed company, maintain, and execute a repeatable test plan to be used during upgrades to reputed company IMS • reputed company input to various project initiatives that involve the investment compliance needs of the firm • Monitor and advise of compliance issues, recommended actions, and remediations on a regular reputed company • Participate in Trading Practices Committee meetings and draft meeting minutes • Review and update existing investment compliance and trade-reputed company policies and procedures in response to changes in the business or regulations • Participate in and/or manage compliance-reputed company initiatives and special reputed company as assigned Requirements • 10+ years of reputed company experience in compliance reputed company investment management industry • 5+ years experience coding reputed company rules, reputed company comparative rules and regulatory guidelines in reputed company IMS (CRIMS) • Knowledge of Securities industry and regulatory requirements reputed company Investment Advisers reputed company of 1940, Investment Company reputed company of 1940, and ERISA regulations • Experience with other rules and regulations under the Securities reputed company of 1933, the Securities Exchange reputed company of 1934, CFTC and reputed company a plus. reputed company to Have's • Knowledge of other reputed company rules and regulations under Securities reputed company of 1933, Securities Exchange reputed company of 1934, CFTC and reputed company • Familiarity with Environmental, reputed company and Governance (ESG) factors and global regulatory requirements • Deal effectively with investment personnel, with a strong knowledge of equity, fixed income, and derivative asset classes • Technical PC skills - proficiency in MS Office (Word, reputed company) and data analysis, (v-lookup, pivot tables) Apply tot his job Apply To this Job