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Atlantic Group · 7 hours ago

Senior Portfolio Compliance Associate

Jersey City, NJ

Full-time

Onsite

Senior Level

$165K/yr - $190K/yr

5+ years exp

Atlantic Group is hiring a Senior Portfolio Compliance Associate to join our investment management client in Jersey City, NJ. This in-office role is ideal for a compliance professional with expertise in investment guideline monitoring, regulatory oversight, and order management systems.

B2BHuman ResourcesStaffing Agency

Growth Opportunities

Responsibilities

Guideline Interpretation & Coding: Interpret investment guidelines, fund documentation, and regulatory requirements to accurately code restrictions into compliance systems

Trade Monitoring & Surveillance: Conduct daily pre- and post-trade monitoring, trade surveillance, and testing to ensure adherence to client mandates and internal controls

Product Compliance Support: Assist with compliance setup for new products and fund structures, including SMAs, mutual funds, UCITS, and private funds

Cross-Functional Collaboration: Partner with investment, legal, and operations teams to address compliance issues and ensure policy alignment

Regulatory Research & Policy Enhancement: Monitor regulatory changes and contribute to the development and improvement of compliance policies and procedures

Qualification

Investment complianceRegulatory oversightOrder management systemsAdvanced ExcelAnalytical skillsInvestment products knowledgeRegulatory guidelines knowledgeSolution-oriented mindsetCommunication skillsOrganizational skillsAttention to detail

Required

Bachelor's degree in Finance, Economics, Business, or a related field required

5-10 years of experience in investment compliance, portfolio monitoring, or regulatory oversight within asset management or financial services

Advanced Excel skills with experience driving automation and workflow enhancements, and proficiency in compliance and order management systems, including Charles River

Strong analytical, organizational, and communication skills with a keen attention to detail and a proactive, solution-oriented mindset

Deep understanding of investment products, regulatory guidelines (e.g., SEC, UCITS), and best practices in portfolio and trading compliance