VP, Investment Advisory Compliance

📋 Description

• • As the VP, Investment Advisory Compliance, you will play a pivotal role in upholding the integrity and regulatory adherence of the firm’s compliance program, with a specialized focus on investment and trading activities.
• • You will work closely with the Head of Investment Advisory Compliance (IAC) to administer and enhance the firm’s compliance framework, ensuring robust oversight of brokerage/commission practices, potential conflicts of interest, and the prevention of market manipulation.
• • This comprehensive role spans all client types and a diverse range of asset classes, including public and private fixed income, public equity, and alternative investments, demanding a broad understanding of financial markets and instruments.
• • A key aspect of your responsibility will be to foster strong collaborative relationships with various investment teams across all asset classes, the Legal department, Risk Management, Internal Audit, and other critical support functions.
• • Your objective will be to ensure the firm consistently meets and exceeds regulatory requirements, client expectations, and established industry best practices.
• • You will be instrumental in managing the day-to-day compliance operations related to brokerage practices, conflicts of interest oversight, and market manipulation reviews, potentially supervising other compliance officers.
• • A significant part of your role will involve serving as the primary Compliance support for the Equity and Fixed Income Trade Management Oversight Committees (TMOCs), providing expert advice on brokerage, soft dollars, and commission practices.
• • You will lead the development and administration of the firm’s Conflicts Committee, proactively identifying, managing, and mitigating conflicts of interest and other compliance risks through robust policies and procedures.
• • Continuous improvement will be a hallmark of your work, as you will seek and implement enhancements to the TMOC and Conflicts Committees by staying abreast of regulatory developments and emerging trends identified through thematic reviews and enforcement actions.
• • You will be responsible for conducting thorough trade surveillance and market abuse reviews, employing sophisticated analytical techniques to detect and prevent potential violations.
• • A crucial contribution will be assisting in the development and delivery of comprehensive training materials on regulatory and compliance matters, ensuring all employees are well-informed and equipped to adhere to compliance standards.
• • You will actively participate in and provide essential reporting for various internal working groups and committees that influence the firm’s business operations and strategic direction.
• • Facilitating the accurate resolution and meticulous documentation of trading errors will be a core duty, ensuring all errors and exceptions are promptly reported to senior compliance leadership.
• • You will contribute to critical projects and initiatives that leverage technology and data analysis to develop, enhance, and automate compliance processes, driving efficiency and effectiveness.
• • You will collaborate with the Head of IAC in the review and refinement of the Compliance and Trading Manuals, ensuring they remain current, comprehensive, and aligned with regulatory expectations.
• • You will be tasked with undertaking special compliance-related projects as assigned by the Head of IAC and/or the Chief Compliance Officer (CCO), demonstrating flexibility and a proactive approach to addressing emerging compliance needs.
• • This role requires a deep understanding of relevant securities laws and regulations, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, and SEC rules, as well as comprehensive knowledge of industry practices.
• • You will need to be highly proficient in addressing brokerage, trading, conflicts of interest, and market manipulation issues across multiple asset classes, including equity, private and public fixed income, and alternative products.
• • Demonstrated success in managing and developing a team is essential, fostering a collaborative and high-performing environment.
• • Your analytical and project management skills must be well-developed, enabling you to manage multiple priorities simultaneously in a fast-paced, dynamic setting.
• • Strong communication skills, both verbal and written, are paramount for effectively conveying complex compliance information to diverse audiences.
• • A flexible, consultative, and collaborative working style will be key to motivating change and driving compliance initiatives across the organization.
• • Familiarity with trading and compliance systems such as BlackRock Aladdin and Bloomberg AIM, along with strong Excel and general technology skills, will be crucial for success in this role.
• • The ability to work U.S. East Coast business hours and travel to specific office locations every two months is a requirement for this remote position.