Investment Compliance Officer # ICM02

posted on: 2 Nov 2018




A prestigious Fortune 500 global investment company with instant name recognition is seeking an Investment Compliance Officer for their Investment Arm.  They offer Competitive compensation, salary & bonus, annual increases, and generous benefits. Reports to CCO, promotion potential. Very nice boss. Rated a “Best Company To Work For.”


Ensure guidelines are formatted to be coded into monitoring systems and accurately reflect trading restrictions for the client’s account.

Contribute to the analysis of client Investment Management Agreements (IMAs) and seeking clarification of guidelines from the business where necessary.

Monitor developments with the SEC and CFTC as they relate to the Investment function.

Manager and Conduct Forensic Compliance testing and training sessions.



Minimum of 8 year's investment industry compliance experience, particularly with SEC matters (Fixed Income and/or derivatives a plus).

Experience with any pre-trade compliance or portfolio management system (such as Bloomberg, Charles River, Blackrock Aladdin, etc.)

Strong understanding and experience with SEC and FINRA regulations.


Send your resume in confidence to


Type: Compliance
Level: Other
Practice: Compliance
Compensation: unspecified
State: City:
Telephone: (212) 354-9322 Email:
Recruiter Name: Brian Jacobs