Investment Compliance Job Description

Investment Compliance Job Description

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Investment compliance provides advisory services to investment teams and compliance colleagues globally on derivatives compliance requirements in the EMEA region.

Investment Compliance Duties & Responsibilities

To write an effective investment compliance job description, begin by listing detailed duties, responsibilities and expectations. We have included investment compliance job description templates that you can modify and use.

Sample responsibilities for this position include:

Testing and monitoring of effectiveness of compliance controls
Development and implementation of training initiatives
Frequent interaction with the Compliance Control Room and Equities Compliance
Global coordination with business, infrastructure and affiliate partners to ensure effective development, implementation and application of compliance-related initiatives
Of partners to assure compliance with applicable
Monitor and recommend appropriate controls to cover non-programmable guideline restrictions on a timely basis
Perform analysis of the data requirements on appropriate systems
Work closely with colleagues and clients to respond to queries and to escalate critical issues if needed
Coordinate other ad-hoc projects and reporting
Overseeing Sales and Trading on the Canadian desk

Investment Compliance Qualifications

Qualifications for a job description may include education, certification, and experience.

Licensing or Certifications for Investment Compliance

List any licenses or certifications required by the position: INHAM, AML, CFA, OFAC, FSFM, IMC, NCFM, CEO, CSIM, ADV

Education for Investment Compliance

Typically a job would require a certain level of education.

Employers hiring for the investment compliance job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and University Degree in Finance, Business, Accounting, Economics, Law, Education, Financial Services, MBA, Legal, Management

Skills for Investment Compliance

Desired skills for investment compliance include:

UCITS
MS Excel
Problem solving and analytical skills
U.S. Investment Companies Act of 1940
Investment compliance to translate client requirements into actionable items for internal teams and work with internal teams
Excel and investment systems are to analyze data and generate client reports
Instruments
Fund management processes
Products and funds
Excel

Desired experience for investment compliance includes:

Demonstrated Enterprise wide, application delivery across multiple functions within an organization
Familiarity with various investment styles, asset classes, benchmarks, and investment related terminology
Knowledge of fixed income and derivatives exposure calculations including OTC swaps and currency overlay strategies a plus
Prior experience training clients and /or partners preferred
Identify, escalate, and assist with resolution of breaches
Provide advisory support to investment managers on investment management compliance related

Investment Compliance Examples

1

Investment Compliance Job Description

Job Description Example
Our company is growing rapidly and is hiring for an investment compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for investment compliance
  • Providing regulatory advice and guidance relating to the IIROC Rule Book, UMIR Rules, TSX Rules for both equities and fixed income trading, including new rules and regulations and new and existing business initiatives
  • Advising and interfacing with Canadian sales traders, regulatory managers, supervisors and delegates
  • Registration of representatives through NRD
  • Liasing with AML/KYC/Onboarding for Client Suitability and advising the Designated Account Opening Supervisor
  • IIROC/OBSI Complaint Officer
  • Participating in the drafting of trading manuals, policies and procedures , manuals and bulletins
  • Managing reporting requirements, both internally and to IIROC, for the Canadian dealer
  • Interfacing with Surveillance Team, traders and regulatory managers to manage the Canadian platform
  • Ensuring compliance with the Canadian Electronic Trading Rules
  • Interfacing with Compliance Practices with respect to testing, training and monitoring activities
Qualifications for investment compliance
  • Guideline monitoring experience
  • Assisting the Chief Compliance Officer with reporting requirements, monthly forums, gatekeeper reporting
  • Assisting in the management of internal and regulatory requests, audits, surveys, inquiries and reviews
  • Participating in relevant industry forums and committees
  • Assisting in the corporate secretarial function and preparation for board meetings
  • Must be able to evaluate and solve problems from multiple perspectives
2

Investment Compliance Job Description

Job Description Example
Our innovative and growing company is searching for experienced candidates for the position of investment compliance. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for investment compliance
  • Assisting in the maintenance and quality assurance of the investment compliance processes
  • Tertiary qualifications in Business, Finance, Economics or Law or alternatively studying part-time in one of these fields
  • A tertiary qualification in Law, Commerce or a related discipline
  • At least twelve years of relevant compliance, regulatory, legal or risk management experience gained within financial services
  • Providing compliance advisory to the equities business
  • Providing training on new rules and regulations that are impacting the business
  • Implementing new policies and procedures and working together with other team including risk management and legal
  • Participating in projects such as Dodd-Frank
  • Handling regulatory inquiries and examinations
  • Where gaps or discrepancies arise escalating these to your Manager
Qualifications for investment compliance
  • Participate and/or assist in the coordination of compliance efforts with regulatory examiners, such as the SEC and the Federal Reserve, and internal and external auditors
  • Ensure the proper preparation and filing of Form ADV and other regulatory filings
  • Monitor, disseminate and implement applicable regulatory changes
  • Consult and guide the RIAs in the PCG U.S. Group in the establishment of controls to mitigate risks
  • Proactively participate in the development or revision of corporate policies and procedures as they relate to regulatory requirements
  • Review and provide sound regulatory guidance and insight on marketing material
3

Investment Compliance Job Description

Job Description Example
Our innovative and growing company is looking for an investment compliance. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for investment compliance
  • Assist in investigating investment guideline breaches
  • Supervise and lead a team situated in Singapore (1 AVP & 4 trainees) and Hong Kong (2 AVPs) with accountability on BAU delivery, hiring and performance management
  • Collaboration with global Investment Suitability colleagues to ensure consistency of standards and practices
  • Collaboration with Investment Suitability Framework stakeholders in respect of framework development, updates in policies and procedures
  • Liaise with stakeholders to implement Investment Suitability related projects and automation
  • Manage audit and regulatory related interactions for Investment Suitability subjects
  • Ongoing monitoring of investment guidelines using Charles River (Equities) and Aladdin (Fixed Income) systems
  • Mainly post-trade verification and submission
  • Follow through with Portfolio Managers to ensure potential incorrect trades are not made
  • Provide support support/cover to other analysts in daily guideline monitoring when volumes are low
Qualifications for investment compliance
  • Series 7, 24, and 65 licenses or able to obtain within 6 months
  • Work closely with Litigation on regulatory inquiries, subpoenas and other matters from FINRA, SEC and DOJ in connection to Investment Banking activities or personnel
  • 3 to 5 years experience in a financial services environment, preferably within Asset Management or in a legal/regulatory/data management environment
  • Experience of automated investment restrictions systems such as Blackrock Solutions, Charles River
  • Ability to read and understand complex business documents
  • Fluency in Cantonese and Putonghua will be a plus
4

Investment Compliance Job Description

Job Description Example
Our growing company is searching for experienced candidates for the position of investment compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for investment compliance
  • Advise clients on the impacts of relevant regulatory developments on their activities
  • Guidance and advise on Fund set-up area
  • Supervise junior team members on various assignments
  • Maintain excellent relations with existing clients developing new long-term relationships with compliance officers and other external parties
  • Work alongside recognised experts
  • Manage the relevant Permanent Supervision (PS) and other controls within the compliance team, including driving a process of continuous improvement (and simplification where possible) of existing compliance procedures and controls introducing new and adapted procedures and controls where appropriate
  • Develop and deliver appropriate regulatory training for the business line using one-to-one or classroom methodologies
  • Updating the IBCR’s record keeping systems
  • Clear the Investment Research against the Watchlist and Restricted list and maintain the input of conflicts of interest data into Investment Research systems, including for regulatory disclosures
  • Maintain Chinese wall and Chinese wall crossing procedures, and ensure that wall crossing requests are actively and promptly handled by the Control Room Team
Qualifications for investment compliance
  • 3-5 years brokerage and advisory compliance experience
  • Thorough knowledge and understanding of all compliance and regulatory requirements
  • Undertakes the resolution of compliance issues and advises the line of business
  • University degree in relevant field including finance, business or legal
  • At least 3 to 5 years of experience in equities compliance and a strong knowledge in equities products across the APAC market
  • Understand the local regulations in Hong Kong and some knowledge of regulations for other countries in APAC
5

Investment Compliance Job Description

Job Description Example
Our innovative and growing company is looking to fill the role of investment compliance. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for investment compliance
  • Strong technical skills including MS Office, experience with MS Excel a must
  • Acting as an expert in supporting your team in their monitoring of UCITS, UCIs and SIFs laws
  • A qualification in Law or a related discipline is preferred
  • A minimum of twelve years compliance, regulatory, legal or risk management experience gained within a financial institution or a regulator
  • Provide direction and guidance and serve as subject matter expert to internal/external business associates on investment advisory compliance issues, including fiduciary responsibility, advisory regulation, strategic relationships, and permissible activities under firm policy
  • It is the better to communication of compliance matters in investment area including timely and accurate reporting and escalation of such matters in accordance with relevant reporting and escalation protocols
  • Closley work with relevant departments such as AMC, legal,internal audit to identify the compliance risk more timely and accurately and improve the effectiveness and effiency of the controls on a ongoing basis
  • Strictly conduct various compliance monitoring including daily post-trade compliance report in Bloomberg, Hundsun, Portia and BI
  • It should develop various compliance reports according to the policies and submit to relevant parties on a timely basis
  • Assist Compliance and Operations staff with regulatory filings (e.g., Form ADV, Form PF, 7R, 8R, PQR )
Qualifications for investment compliance
  • Fundamental Finance knowledge
  • Experience in working with front line staff including sales and traders
  • Ability to carry out detailed procedures as specified
  • Familiarity with asset types
  • Capable of taking the lead on all regulatory matters associated with the various businesses within the alternatives platform of asset management and its Global Real Assets (”GRA”) business
  • GRA is the global real estate fiduciary business within JPMAM which is primarily focused on identifying and investing in a variety of Real estate projects, fixed assets and properties generating superior investment returns for its investor clients

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