Portfolio Compliance Officer

Job Description

The role of the Portfolio Compliance Officer will be a member of the Compliance team. This individual will work directly with the Portfolio Construction and Trading teams to resolve daily trading related issues. Responsibilities will include daily monitoring of all trade activity for compliance with investment management agreements, prospectus, regulatory and other firm-level investment guidelines applicable to portfolios. The individual will be responsible for implementing controls and processes to ensure compliance with all applicable regulatory and portfolio guidelines primarily by extracting, analyzing, coding and monitoring client, regulatory and internal investment guidelines utilizing Charles River and other internal resources.

What You’ll Do:

  • 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.

We’re Looking for Teammates With:

  • 5+ years of investment portfolio compliance experience in the financial services industry
  • Bachelor's degree in business, finance, accounting, or economics
  • 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

Why work here:

Acadian is a quantitative investment firm where ideas are empowered by technology. Our team is made up of a diverse mix of professionals who thrive in a culture that fosters ingenuity through collaboration and transparency.  

  • Casual office environment. Casual dress code everyday. The kitchens are stocked with free snacks and drinks.
  • Better Benefits. Get quality medical, dental and vision insurance; Paid leave bank of 20 days; Profit Sharing; Tuition & Health Club Reimbursement.
  • Opportunities to Develop Personally & Professionally. We promote local volunteerism and organize hands-on opportunities throughout the year. Work side-by-side with some of the industry’s most admired professionals.

To apply for this position or view Acadian’s open roles, please visit the Careers section of our website at: http://www.acadian-asset.com/careers/Job-opportunities. We will contact only selected candidates.  If you are a candidate with a disability, or are assisting a candidate with a disability, and require an accommodation to apply for one of our jobs, please email us at **********@acadian-asset.com.

It is the policy of Acadian Asset Management LLC to provide equal employment opportunity to all qualified persons without regard to race, creed, color, sex, age, national origin, marital status, veteran status, citizenship status, disability, or sexual orientation.

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