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Acadian Asset Management · 5 days ago

Senior Compliance Officer - CRD

Boston, MA

Full-time

Hybrid

Senior Level, Lead/Staff

$150K/yr - $180K/yr

8+ years exp

Acadian Asset Management is a global, systematic investment manager specializing in data-driven investing. The Senior Compliance Officer will work with the Portfolio Construction and Trading teams to ensure compliance with investment management agreements and regulatory guidelines, while implementing controls and processes for compliance monitoring.

Asset ManagementFinanceFinancial Services

Comp. & Benefits

Responsibilities

Conduct daily, pre-trade and post-trade monitoring for primarily equity portfolio investment activities relative to internal and external investment guidelines and regulatory limits

Ensure trades are in compliance with relevant portfolio limitations prior to trade execution

Respond to time-of-trade alerts quickly and accurately in an effort to meet internal client expectations

Monitor compliance with internal policies and procedures, operational practices and investment compliance guidelines, ensuring proper control activities and framework are in place

Conduct, update and maintain rule coding in the Charles River compliance system

Work with technology staff to ensure proper data alignment required to support trading compliance monitoring

Qualification

Investment portfolio complianceCharles RiverEquity investmentsAlternative investmentsCommunication with leadership

Required

Bachelor's degree in business, finance, accounting, or economics

8+ years of investment portfolio compliance experience in the financial services industry

Strong experience coding and monitoring investment guidelines within Charles River

Experience reviewing and interpreting the terms and conditions of Investment Management Agreements, Prospectuses, Statements of Additional Information, and Regulatory guidelines (UCITS, etc.)

Experience with equity and alternative investments

Comfortable communicating with senior leadership and resolving issues

Ability to work effectively both remotely and while sitting within a trading team