Position Overview

We are seeking an experienced Senior Manager Middle Office Investment Operations to join our client’s Global Investment Operations division in Baltimore, Maryland.

This position will play a key role in overseeing investment compliance activities, ensuring that portfolios adhere to applicable regulatory requirements, client investment guidelines, prospectus restrictions, and internal policies.

The ideal candidate will bring a strong understanding of investment products, portfolio operations, and compliance monitoring, along with demonstrated leadership capabilities and the ability to communicate effectively with senior stakeholders.

This role offers the opportunity to collaborate closely with investment professionals, trading teams, and operational leadership while contributing to the ongoing enhancement of the firm’s investment compliance framework.

Key Responsibilities

• Oversee day-to-day investment compliance monitoring activities to ensure portfolios remain aligned with regulatory requirements, client mandates, prospectus restrictions, and internal investment policies.

• Support the interpretation, implementation, and ongoing monitoring of investment guidelines across various asset classes and investment strategies.

• Partner with portfolio managers, trading teams, investment operations, and other business functions to identify, investigate, and resolve potential investment compliance issues.

• Provide leadership and oversight to investment compliance processes, ensuring accuracy, consistency, and effective risk management.

• Review and address investment guideline breaches, exceptions, and other compliance-related matters, coordinating appropriate resolution and escalation.

• Identify opportunities to strengthen internal controls, streamline workflows, and enhance investment compliance monitoring processes.

• Collaborate with technology and operational teams to support system enhancements, automation initiatives, and process improvements.

• Communicate compliance findings, operational risks, and key initiatives to senior leadership and relevant business stakeholders.

• Support the development and ongoing improvement of policies, procedures, and controls relating to investment compliance activities.

• Provide guidance, mentorship, and leadership to team members while fostering a collaborative, accountable, and high-performing environment.

Qualifications & Experience

Required Qualifications

• Strong professional background within investment management, asset management, investment compliance, or investment operations.

• Demonstrated understanding of investment products, portfolio management processes, trading activities, and the investment lifecycle.

• Experience working with investment guidelines, regulatory controls, portfolio restrictions, or investment compliance monitoring.

• Strong analytical and problem-solving skills, with the ability to assess complex investment and operational matters.

• Demonstrated leadership experience, including team management, functional oversight, or leading cross-functional initiatives.

• Excellent communication and stakeholder management skills, with the ability to work effectively with senior leadership and investment professionals.

• Proven ability to identify risks, investigate issues, and drive process improvements.

Preferred Qualifications

• Experience within a large institutional investment manager or asset management organization.

• Familiarity with investment management and compliance platforms, such as Bloomberg AIM, BlackRock Aladdin, or comparable systems.

• Knowledge of pre-trade and post-trade compliance monitoring processes.

• Experience across multiple asset classes, including equities, fixed income, and derivatives.

• Background working closely with portfolio managers, trading desks, compliance teams, or middle-office operations.

• Experience with operational transformation, automation, or investment compliance system enhancements.

Compensation & Benefits

• Base Salary: Up to $175,000, dependent on experience.

• Annual Bonus: 20% target.

• Location: Baltimore, Maryland.

• Work Arrangement: Hybrid, with four days per week onsite.

• Competitive benefits package and opportunities for continued professional development and career growth.

Why Consider This Opportunity?

• Established Investment Management Firm: Join a globally recognized organization with a longstanding reputation in the asset management industry.

• Leadership Exposure: Work closely with senior stakeholders and play an important role in supporting investment compliance oversight.

• Cross-Functional Collaboration: Partner with portfolio management, trading, operations, technology, and compliance professionals.

• Professional Growth: Build on existing investment management expertise while developing further leadership and investment compliance capabilities.

• Meaningful Impact: Help strengthen investment compliance processes, improve operational efficiency, and contribute to effective risk management across the organization.

Interested in Learning More?

If you have a background in investment compliance, portfolio oversight, or investment operations and are interested in an opportunity that combines technical investment knowledge with leadership responsibilities, we would welcome the opportunity to connect.

Apply today or reach out directly to [email protected] for a conversation about the position!