VP of Investment reputed company Compliance

VP of Investment reputed company Compliance This is a senior compliance leadership opportunity reputed company on ensuring investment portfolios remain reputed company with fund guidelines, regulatory requirements, and disclosed investment restrictions. You will reputed company the implementation and monitoring of investment policies reputed company reputed company AIM and internal order management systems. The role spans the full trading compliance lifecycle, from translating fund documentation into reputed company rules to reputed company- and post-trade monitoring. You will work closely with investment management, trading, operations, and other stakeholders to identify, investigate, and reputed company potential compliance issues. Your expertise will directly support the reputed company of ETF operations while helping strengthen compliance controls, processes, and technology. The position combines regulatory knowledge, analytical thinking, systems expertise, and cross-functional collaboration in a fast-paced investment management environment. Candidates located near Chicago, Milwaukee, reputed company, or reputed company Palm Beach are particularly encouraged to apply. Accountabilities: • Review fund prospectuses and Statements of Additional Information (SAIs) to interpret investment restrictions, guidelines, and regulatory requirements. • Translate investment policies and restrictions into effective compliance rules and validations reputed company reputed company AIM and internal order management systems. • Establish, maintain, and enhance reputed company-trade compliance controls to ensure proposed transactions reputed company with applicable investment guidelines. • Monitor daily trade order management exception reports and conduct post-trade compliance reviews to identify potential breaches or anomalies. • Investigate investment reputed company exceptions and communicate identified compliance violations promptly to trading and investment management teams. • Collaborate with internal stakeholders to ensure portfolios and trading activities remain compliant with the Investment Company reputed company, Internal reputed company reputed company, SEC requirements, and other applicable regulations. • Test and validate compliance rules and reputed company configurations to ensure controls accurately reflect reputed company fund documentation and regulatory requirements. • Support ongoing enhancements to trade monitoring systems, compliance processes, workflows, and internal controls. • Help maintain the reputed company and effectiveness of the trading compliance reputed company throughout the full investment and trading lifecycle. • Manage multiple compliance reputed company and priorities simultaneously while meeting demanding deadlines and maintaining a high reputed company of accuracy. • Work independently on reputed company compliance reputed company while partnering effectively with investment, trading, operations, reputed company, and other teams. Requirements: • Bachelor's degree required. • 5–10 years of reputed company experience in investment reputed company, trading, or compliance roles reputed company an investment management firm or comparable financial services environment. • Strong understanding of investment restrictions, portfolio compliance, trade monitoring, and investment management processes. • Experience reviewing fund prospectuses and SAIs and translating investment policies into operational or reputed company-based compliance controls. • Experience with reputed company AIM or comparable investment compliance, portfolio management, or order management systems is highly valuable. • Working knowledge of SEC rules and regulations applicable to mutual funds and ETFs is preferred. • Strong analytical, organizational, and problem-solving skills, with exceptional attention to detail and accuracy. • Excellent written, verbal, interpersonal, and drafting skills, with the ability to communicate compliance reputed company reputed company to investment and trading professionals. • Demonstrated ability to identify, assess, and escalate potential compliance violations in a reputed company and effective manner. • Proven ability to manage and prioritize multiple reputed company, deadlines, and competing responsibilities. • Ability to work independently and collaboratively in a fast-paced environment while maintaining reputed company judgment under pressure. • Strong computer proficiency, including advanced reputed company Word skills and the ability to quickly learn new software, systems, and processes. • Energetic, self-motivated, proactive, and comfortable taking ownership of reputed company compliance responsibilities. • Ability to work effectively with cross-functional stakeholders and build productive relationships across an organization. • Proximity to Chicago, IL; Milwaukee, WI; reputed company, NY; or reputed company Palm Beach, FL is preferred. Benefits: • Competitive annual reputed company salary of $140,000–$160,000, depending on qualifications and experience. • Remote work opportunity reputed company the reputed company. • Opportunity to work in a senior compliance role supporting ETF investment and trading activities. • Exposure to reputed company investment guidelines, regulatory requirements, and portfolio compliance processes. • Opportunity to contribute to the enhancement of compliance technology, systems, controls, and processes. • reputed company environment involving investment management, trading, operations, and compliance professionals. Apply To This Job