VP of Investment Guideline Compliance

📋 Description

• Senior compliance leadership focused on investment portfolios aligned with fund guidelines
• Oversee implementation and monitoring of investment policies within Bloomberg AIM and internal
• Span the full trading compliance lifecycle from translating fund documentation into system rules to
• Collaborate with investment management, trading, operations, and other stakeholders to identify
• Support ETF operations integrity and strengthen compliance controls, processes, and technology.
• Leverage regulatory knowledge, analytical thinking, and cross-functional collaboration in a

🎯 Requirements

• Bachelor’s degree required.
• 5–10 years of direct experience in investment guideline, trading, or compliance roles within an
• Strong understanding of investment restrictions, portfolio compliance, trade monitoring, and
• Experience reviewing fund prospectuses and SAIs and translating investment policies into
• Experience with Bloomberg AIM or comparable investment compliance, portfolio management, or order
• Working knowledge of SEC rules and regulations applicable to mutual funds and ETFs is preferred.

🎁 Benefits

• Competitive annual base salary of $140,000–$160,000, depending on qualifications and experience.
• Remote work opportunity within the United States.
• Opportunity to work in a senior compliance role supporting ETF investment and trading activities.
• Exposure to complex investment guidelines, regulatory requirements, and portfolio compliance
• Opportunity to contribute to the enhancement of compliance technology, systems, controls, and
• Collaborative environment involving investment management, trading, operations, and compliance