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Thornburg Investment Management · 1 day ago

Head of Investment Compliance

Santa Fe, NM

Full-time

Onsite

Director/Executive

10+ years exp

Thornburg Investment Management is seeking an experienced investment compliance professional to lead their investment compliance function. The Head of Investment Compliance will establish and maintain a compliance framework ensuring adherence to regulations and internal policies while providing guidance on compliance matters to portfolio managers and senior leadership.

Financial Services

Responsibilities

You will design, implement and oversee the firm’s investment compliance program, ensuring adherence to SEC, FINRA, Irish Central Bank regulations, and other regulatory requirements

You will establish and maintain surveillance systems to monitor portfolio management activities, trading practices and investment restrictions

You will serve as a trusted advisor to portfolio managers, traders and senior leadership on compliance matters

You will be asked to participate in various committees across the firm such as best execution, liquidity, pricing and valuation, derivatives and enterprise risk

You will identify, assess, and mitigate compliance risks across the investment platform

You will monitor regulatory developments affecting the asset management industry and assess their impact on firm operations

Qualification

Investment compliance experienceLeadership in compliance programsRegulationsOrder/execution management systemsPortfolio management processesAnalyticalCommunication skillsProblem solving

Required

Bachelor's degree in finance, law, business, accounting, or related field required

Minimum 10 years of investment compliance experience at an asset management firm, with direct exposure to equity and fixed-income mutual funds, ETFs, UCITS, and separately managed accounts

Demonstrated leadership in designing, implementing, and overseeing comprehensive compliance programs

Proven ability to engage and influence stakeholders at all levels, including senior leadership, regulators, and clients

Deep knowledge of the Investment Company Act of 1940 and the Investment Advisers Act of 1940

Familiarity with global regulatory frameworks (e.g., MiFID II, UCITS, AIFMD, Irish Central Bank) and their impact on asset management operations

Experience managing and developing compliance teams of varying sizes

Significant hands-on experience with order/execution management systems, preferably Bloomberg AIM

Understanding of portfolio management processes, trading operations and investment strategies across multiple asset classes

Strong communication skills and ability to engage and influence stakeholders at all levels

Strong analytical and problem solving skills with the ability to assess complex compliance issues and develop practical solutions

Preferred

Advanced degree (JD, MBA, or Master's in Finance) strongly preferred

Benefits

Medical, dental, and vision coverage.

Employer 401(k) safe harbor and profit-sharing contributions.

Work/life programs such as flexible work arrangements, flexible paid time off, paid parental leave, employee assistance plan, commuter benefits, student loan repayment program, education reimbursement program.

Community involvement opportunities.

Onsite cafeteria.

Onsite fitness center.

Referral program.