VP of Investment Guideline Compliance

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 within Bloomberg AIM and internal order management systems.
  • Establish, maintain, and enhance pre-trade compliance controls to ensure proposed transactions comply 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 guideline 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 Act, Internal Revenue Code, SEC requirements, and other applicable regulations.
  • Test and validate compliance rules and system configurations to ensure controls accurately reflect current fund documentation and regulatory requirements.
  • Support ongoing enhancements to trade monitoring systems, compliance processes, workflows, and internal controls.
  • Help maintain the integrity and effectiveness of the trading compliance framework throughout the full investment and trading lifecycle.
  • Manage multiple compliance projects and priorities simultaneously while meeting demanding deadlines and maintaining a high standard of accuracy.
  • Work independently on complex compliance matters while partnering effectively with investment, trading, operations, legal, and other teams.

  Requirements:

  • Bachelor’s degree required.
  • 5–10 years of direct experience in investment guideline, trading, or compliance roles within 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 system-based compliance controls.
  • Experience with Bloomberg 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 matters clearly to investment and trading professionals.
  • Demonstrated ability to identify, assess, and escalate potential compliance violations in a timely and effective manner.
  • Proven ability to manage and prioritize multiple projects, deadlines, and competing responsibilities.
  • Ability to work independently and collaboratively in a fast-paced environment while maintaining sound judgment under pressure.
  • Strong computer proficiency, including advanced Microsoft Word skills and the ability to quickly learn new software, systems, and processes.
  • Energetic, self-motivated, proactive, and comfortable taking ownership of complex compliance responsibilities.
  • Ability to work effectively with cross-functional stakeholders and build productive relationships across an organization.
  • Proximity to Chicago, IL; Milwaukee, WI; New York City, NY; or West Palm Beach, FL is preferred.

  Benefits:

  • Competitive annual base salary of $140,000–$160,000, depending on qualifications and experience.
  • Remote work opportunity within the United States.
  • Opportunity to work in a senior compliance role supporting ETF investment and trading activities.
  • Exposure to complex investment guidelines, regulatory requirements, and portfolio compliance processes.
  • Opportunity to contribute to the enhancement of compliance technology, systems, controls, and processes.
  • Collaborative environment involving investment management, trading, operations, and compliance professionals.