An asset management division of a large financial services firm seeks a Compliance Officer.

The investment management firm has assets under management over $120 billion, and has a great track record of success.  

The Compliance Officer will report to the Chief Compliance Officer.  The CO will have a key role in conducting trade surveillance across portfolios managed in a number of fixed income and/or equity strategies as well as assisting with other aspects of the Firm’s overall compliance program.


  • Trade surveillance of various fixed income products such as high yield, investment grade, municipal, and convertible; and equity products.
  • Assist in review of investment management agreements and investment guidelines for new and existing clients.
  • Interact with the personnel at all levels of the Firm’s various business units (Investment Teams, Operations, Client Services, Finance, etc.) to satisfy day-to-day assignments as well as ad-hoc projects.
  • Conduct trading analyses such as best execution reviews and trade allocation reviews.
  • Assist in testing policies and procedures as part of the firm’s annual assessment.
  • Assist in preparation of various regulatory filings (e.g., 13F, 13G, Form ADV, etc.).
  • Prepare various reports for Compliance and Brokerage Committee meetings.
  • Prepare Board reports for various registered investment companies.
  • Prepare investment guideline certifications for clients.
  • Assist in the review of compliance policies and procedures.
  • Assist with regulatory exams and internal audits.
  • Provide guidance and support to other team members on various portfolio management and trading matters.
  • Other duties as required.


  • Minimum of three years’ experience in the investment management industry (ideal but not required) with a focus on investment advisory and investment company matters
  • Experience utilizing Bloomberg AIM for monitoring investment guidelines is a plus.
  • Detail-oriented, organized, highly proficient individual to work in a fast-paced, deadline driven environment.
  • Strong verbal and written communication skills.

Please email resumes to Jack Kelly at Jack@ComplianceSearch.com

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