Compliance Officer – Investment Monitoring

About the role

The Regional Investment Compliance Officer will support the Americas Investment Compliance team by monitoring investment activities across multiple asset classes and ensuring adherence to regulatory and client‑directed restrictions.

Key responsibilities

• Validate pre‑trade alerts in order management systems and provide second‑line challenge to investment and trading teams.
• Oversee post‑trade batch monitoring, perform root‑cause analysis and document compliance exceptions.
• Analyze client mandates, prospectuses and regulatory requirements to identify investment restrictions.
• Maintain accurate audit trails for rule interpretation, monitoring outcomes and breach investigations.
• Collaborate with global and regional teams to ensure consistent application of compliance standards and support process improvements.

Required profile

• 2‑4 years of experience in investment compliance, compliance monitoring, audit or a similar control function within asset management or regulated financial services.
• Strong understanding of investment management processes, portfolio construction and trading activity.
• Knowledge of regulatory frameworks and investment restrictions across the Americas.

Required skills

• Experience with compliance modules in order‑management or monitoring systems such as Aladdin, CRIMS (CRD), Charles River or Bloomberg.
• Familiarity with a broad range of investment products and strategies, including retail funds, ERISA, ETFs, index‑tracking strategies and alternative investments.

What we offer

• Flexible paid time off and hybrid work schedule.
• 401(k) matching up to 6% plus discretionary contributions.
• Health and wellbeing benefits, parental leave, employee stock purchase plan.