We are partnering with a leading global investment management firm to find a Senior Manager to lead its Investment Compliance Monitoring function.
This is an opportunity for an experienced investment compliance leader to take ownership of a team-wide monitoring framework, combining technical expertise across multiple asset classes with people leadership, process improvement and strategic initiatives.
The opportunity
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Lead investment compliance monitoring across pre-trade, post-trade and batch processes.
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Oversee the interpretation and application of investment guidelines, portfolio restrictions and compliance requirements.
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Identify opportunities to strengthen controls, improve monitoring processes and optimize compliance rules.
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Partner with investment professionals, trading, legal, risk and operations teams to resolve complex issues and support business objectives.
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Drive automation, data-led improvements and emerging AI-enabled solutions.
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Develop and mentor a team, setting clear objectives and building a culture of accountability and continuous improvement.
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Support governance, regulatory changes, audit readiness and the evolution of the wider monitoring framework.
What we’re looking for
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Direct experience in Investment Compliance, ideally within an asset manager or a buy-side investment environment.
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Strong knowledge of investment guidelines, portfolio restrictions and monitoring processes.
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Experience leading, developing and motivating a team.
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A track record of improving processes, strengthening controls or supporting transformation initiatives.
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Strong stakeholder management skills and the ability to communicate complex issues clearly.
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Experience with Charles River, Aladdin or a comparable investment compliance/order management platform is beneficial.
This role would suit someone who enjoys combining technical investment compliance expertise with hands-on leadership, while helping a team develop and adapt as the business evolves.
