Investment Management Compliance Job Description
Investment management compliance
provides knowledge of sales disclosures to meet compliance regulations (Investment Advisers Act of 1940, Investment Company Act of 1940, GIPS, SEC and FINRA regulations, etc.).
Investment Management Compliance Duties & Responsibilities
To write an effective investment management compliance job description, begin by listing detailed duties, responsibilities and expectations. We have included investment management compliance job description templates that you can modify and use.
Sample responsibilities for this position include:
Enhanced review of all new or expanded products, services, lines of business, market segments or industries to assess the Anti-Money Laundering (AML) and Office of Foreign Assets Control/Sanctions risk
Administration of AML/Sanctions training (maintenance of employees and consultant risk ranking
Membership of JPMC Anti-Money Laundering Oversight Committee (AMLOC) sub-committees, working Groups
The development of corporate and line of business specific policies and guidelines for AML
Partner with testing team to risk assess policy procedures and controls
Position may interact directly with regulators and management team members and requires professional presentation, communication skills, and attention to detail
The execution of corporate and line of business specific policies and guidelines for Financial Crime Prevention and Sanctions
Administration of AML training
Monitor investment compliance
Prepare and deliver quarterly compliance issues to mutual fund Board of Directors
Investment Management Compliance Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Investment Management Compliance
List any licenses or certifications required by the position: CEO, CSIM
Education for Investment Management Compliance
Typically a job would require a certain level of education.
Employers hiring for the investment management compliance job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and University Degree in Accounting, Law, Business, Finance, Economics, MBA, Financial Services, Education, Management, Graduate
Skills for Investment Management Compliance
Desired skills for investment management compliance include:
Excel and PowerPoint
FINRA and Department of Labor’s ERISA regulations
Investment Advisers Act of 1940
Investment Company Act of 1940 and applicable securities laws
Microsoft Word
CPF investment rules
Financial Advisers Act and its Regulations
Fund accounting group and custodian bank
IMAS Code of Conduct
MAS Code on Collective Investment Schemes
Desired experience for investment management compliance includes:
And written communication skills
Maintaining a thorough and up to date understanding of investment adviser regulatory requirements and processes, including front office, operations and fund accounting
Technology skills including various Microsoft applications such as Word, Excel, and PowerPoint are required
Assist legal department in SEC filings, Form ADV, amendments to prospectus, and SAI
Head annual 38a-1 and 206(4)(7) reviews for the adviser and mutual fund complex
Be responsible for annual and ongoing due diligence reviews of sub-adviser relationships
Investment Management Compliance Examples
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Investment Management Compliance Job Description
Job Description Example
Our company is growing rapidly and is looking to fill the role of investment management compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for investment management compliance
- Assist with the compliance support of the Sales teams, including review of compliance related RFP responses and due diligence questionnaires
- Integrate compliance requirements into line of business policies, procedures, controls and training
- Research and respond to compliance queries
- Support business teams with new business initiatives/products
- Evaluate methods, processes and risks, and implement improvements to the compliance program
- Develop and/or deliver training
- Assist with core Compliance functions including risk assessments, and other projects driven by the corporate compliance team
- Review and approve retail marketing materials in accordance with the MAS Advertising Guidelines, IMAS Code and applicable rules and regulations
- Review and approve marketing materials for clients of regional institutional businesses through liaising with global teams and in accordance with the internal policies and any applicable regulatory guidelines, directives
- Provide regular training to Sales and Marketing staff on MAS Advertising Guidelines, related regulatory requirements, new regulations, internal policies, cross-border regulations
Qualifications for investment management compliance
- Provide training to new hires on company policies, regulatory requirements
- Handle inquiries and questionnaires from MAS in relation to marketing materials, websites and funds’ matters
- Research, plan and undertake detailed reviews, in accordance with the IM America's testing programs to assess compliance with applicable rules and regulations
- Maintaining a thorough and up to date understanding of investment adviser requirements specific to hedge funds and alternative investments, including front office, operations and fund accounting
- Make suggestions to enhance the testing procedures to the Team Manager and the Global Investment Management Head of Testing
- Monitor the status of implementation of corrective action and together work with the business to resolve these issues
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Investment Management Compliance Job Description
Job Description Example
Our company is searching for experienced candidates for the position of investment management 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 management compliance
- Research, plan and undertake detailed reviews, in accordance with the GIM America's investment adviser, mutual funds and broker dealer testing programs to assess compliance with applicable rules and regulations
- Maintaining a thorough and up to date understanding of investment adviser and mutual funds investment management requirements, including front office, operations and fund accounting
- Work with the Compliance Advisory teams/Subject Matter Experts for the adviser and mutual funds and Broker Dealer businesses to ensure up to date and comprehensive understanding of these areas
- To provide regulatory and compliance advice and guidance to the operational units supporting the Consulting Group (CG)business, to the Regulatory Examination Group, the Early Dispute Resolution Unit, and Risk Units
- Offering insight and analysis for implementation of proposed and new regulations, industry developments affecting the Funds
- Process FINRA Advertising Department filings via
- Business Line Compliance role includes new product approvals, day-to-day advise to the business, various documentation review, monitoring firewalls, handling of matters relating to the Code of Ethics, review of policies and procedures, managing conflicts of interest, regulatory developments, conducting compliance training and compliance risk assessment and creating Management Information Report on a regular basis, and other BLC related tasks from time to time
- Day-to-day management of assigned functions within the compliance department
- Assist in development of global asset management compliance platform including asset management functions in jurisdictions such as Australia, Europe, Middle East, and Asia, including Hong Kong, Korea and Japan
- Evaluate the performance of assigned staff, including formal and informal performance appraisals
Qualifications for investment management compliance
- Good knowledge of the regulatory framework for global banking and securities institutions, with an overall understanding of regional regulations relating to asset management
- Solid interpersonal and communication skills, excellent prioritization and organizational ability
- Serve as the key point of contact both internally and externally for all portfolio management related queries with regards to local regulatory requirements and restrictions
- Providing training to the business
- Updating and maintenance of the compliance policies and procedures
- Handling any licensing matters with the SFC
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Investment Management Compliance Job Description
Job Description Example
Our company is growing rapidly and is looking to fill the role of investment management compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for investment management compliance
- Maintenance of compliance policies and procedures – ensuring that they are complete and accurate and coordinating and participating in the review and testing of relevant compliance policies necessary to conduct required annual reviews
- Represent the compliance department across the firm, especially with respect to the areas supervised
- Coordinate and participate in projects of various complexity, including managing teams of assigned staff on routine and ad hoc projects
- Advising and supporting the private side businesses on a wide range of internal and transaction-related compliance matters
- Preparing supervisory metrics
- Providing guidance and assistance to the Litigation and Surveillance Regulatory Inquiries teams in connection with the preparation and response to regulatory inquiries and examinations related to private side activities
- Participating in various projects, such as new product initiatives and implementation of new regulations
- Liaising internally within Legal and Compliance on matters pertaining to private side business
- Develop and maintain a strong working knowledge of the regulatory requirements and ensure any developments/changes are incorporated into procedures/practices as appropriate
- Assist in other compliance tasks as required to ensure team objectives are achieved, even if outside the usual scope of responsibility
Qualifications for investment management compliance
- Have at least 4-6 years of relevent all round compliance experience in the investment management space
- Be knowledgeable in SFC regulations
- Be able to work indepdently and is a self starter
- Knowledge with Type 1,4,9 regulations is a plus
- The candidate must possess extensive knowledge of investment advisory rules and regulations
- Coordinating multiple projects/assignments and completing tasks timely and accurately
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Investment Management Compliance Job Description
Job Description Example
Our company is growing rapidly and is looking to fill the role of investment management compliance. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for investment management compliance
- Developing training materials and conducting training sessions
- Interpreting US regulations and helping in implementing appropriate solutions with the business
- Developing a relationship with all the Central Compliance functions to streamline and leverage functions like monitoring and testing teams
- Assisting in identifying and developing modifications on the compliance program based on new business needs
- Handling, or otherwise providing guidance and assistance to internal regulatory relations teams in connection with, the preparation of responses to regulatory inquiries and examinations related to Investment Management Private Side activities
- Participating in various projects, such as new product initiatives, global initiatives
- Liaising and forming a good working relationship with colleagues within Legal and Compliance on matters pertaining to Investment Management Private Side business
- Interpreting European regulations and helping in implementing appropriate solutions with the business
- Liaising and forming a good working relationship colleagues within Legal and Compliance on matters pertaining to Investment Management Private Side business
- Develop, lead and manage project plans to successful completion
Qualifications for investment management compliance
- Ability to identify the various forms of risk to the firm and escalate them through the proper channels
- Demonstrate strong leadership skills and be comfortable defending his/her positions the rationales for alternative approaches
- Commitment to promoting a culture of compliance within the firm through professionalism, accountability, teamwork and client focus
- Must possess at least 3-7 years of investment advisory compliance experience
- Familiarity with SEC and State examination protocols of RIA firms preferred
- Series 65 required or ability to obtain within 90 days of hire
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Investment Management Compliance Job Description
Job Description Example
Our innovative and growing company is looking to fill the role of investment management 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 management compliance
- Lead project team through formal and informal relationships
- Identify, track and resolve issues that arise on the project
- Create and manage project teams for selected solutions/projects as needed
- Execute specific tasks as needed on project initiatives
- Interact with internal and external vendors and consultants as needed
- Analyze and recommend improvements for business processes
- Present and/or report progress and status of initiatives to project teams and interested parties
- Develop and present project updates to senior management, including Steering Committee members
- Provide informal Project Management mentorship for other members of the group
- Collaborate with other business and IT project managers in Sydney, Australia and other MIM locations
Qualifications for investment management compliance
- Good knowledge of listing rules
- Knowledge of FATCA and HKMA is a plus
- Strong communication skill in Engish and Chinese languages - fluent Mandarin is a MUST
- Fiduciary Mind set
- Work experience in financial industry and Japan Market knowledge
- Knowledge in Asset Management business