VP of Investment Guideline Compliance

This is a fully remote position, open to applicants in Florida, +3 more states.

📋 Description

• Analyze fund prospectuses and Statements of Additional Information (SAIs) to establish compliance regulations within Bloomberg AIM and internal order management systems.

• Oversee and evaluate daily trade order management exception reports to ensure compliance with investment guidelines.

• Detect and report compliance breaches to the trading and investment management teams promptly.

• Work collaboratively across departments to uphold compliance with the Investment Company Act, Internal Revenue Code, and other relevant laws and regulations.

• Assist in the continuous improvement of internal compliance systems and processes related to trade monitoring and rule enforcement.

⛳️ Requirements

• A bachelor's degree is mandatory.

• Five to ten years of relevant experience in a similar position at an investment management firm.

• A motivated self-starter with outstanding organizational, communication (both verbal and written), interpersonal, and drafting abilities.

• Proven capability to handle and prioritize multiple projects at once.

• Demonstrated ability to work both independently and as part of a team under time constraints.

• Strong computer skills, including advanced typing abilities and extensive knowledge of Microsoft Word; capacity to quickly learn and adapt to new software and processes.

• Familiarity with SEC rules and regulations related to mutual funds and ETFs is preferred.

🏝️ Benefits

• Competitive salary and performance-based bonuses.

• Comprehensive health, dental, and vision insurance plans.

• Retirement savings plan with company matching.

• Generous paid time off and holiday leave.

• Opportunities for professional development and career advancement.