Director, Portfolio Compliance

Madison-Davis, LLC; Massachusetts; On-site; USD 150,000 - 230,000; Full time

Job summary

Madison-Davis, LLC is seeking a seasoned compliance leader to oversee a team focused on portfolio and investment guideline compliance. The role interfaces with senior stakeholders, technology, and client requirements to improve processes and controls.

The ideal candidate has 10+ years in asset management with deep knowledge of investment restrictions and a proven track record leading cross-functional teams and technology-enabled initiatives.

Qualifications

• 10+ years in asset management or related field.
• Direct experience with portfolio compliance and investment guidelines.
• Proven leadership of teams and cross-functional projects.
• Strong analytical skills and attention to detail.

Responsibilities

• Lead and develop the team reviewing activity against client mandates and regulatory restrictions.
• Oversee daily portfolio compliance activities, alerts, exceptions, and escalations.
• Manage implementation of investment restrictions within portfolio compliance platforms.
• Collaborate with investment, operations, legal, and client teams to interpret guidelines.
• Engage with clients on guidelines, mandates, and guideline changes.
• Identify opportunities to automate processes and improve controls.

Skills

Portfolio compliance

Team leadership

Automation & AI

Stakeholder communication

Regulatory interpretation

Cross-functional collaboration

Job description

A leading investment management organization is seeking an experienced compliance leader to oversee a team focused on portfolio and investment guideline compliance. This role sits at the intersection of compliance, investment management, client requirements, and technology and will have significant interaction with senior stakeholders across the organization.

The successful candidate will bring deep asset management experience, strong knowledge of investment restrictions and portfolio compliance, and a track record of leading teams and complex initiatives. The role is particularly well suited to someone interested in improving compliance processes through automation, technology, and AI-enabled solutions.

Key Responsibilities

• Lead and develop the team responsible for reviewing investment activity against client mandates, fund documentation, internal requirements, and applicable regulatory restrictions.
• Oversee daily portfolio compliance activities, including trade-related alerts, exceptions, warning reports, and escalation of potential guideline issues.
• Manage the implementation and ongoing maintenance of investment restrictions and client-specific requirements within portfolio compliance platforms.
• Work closely with investment professionals, operations, legal, compliance, and client-facing teams to establish and interpret portfolio guidelines.
• Participate in discussions with clients regarding investment restrictions, mandate requirements, and changes to portfolio guidelines.
• Review proposed guidelines to ensure they appropriately reflect client objectives while remaining compatible with investment strategies and operational capabilities.
• Provide compliance support for new investment products, strategies, markets, instruments, and portfolio management initiatives.
• Lead compliance oversight associated with portfolio rebalancing and other significant investment activity.
• Identify opportunities to automate manual processes, improve controls, and enhance the efficiency and scalability of portfolio compliance workflows.
• Lead the evaluation, testing, and implementation of technology enhancements, including improvements involving third-party compliance platforms.
• Translate new regulatory, contractual, or operational requirements into practical compliance controls and technology solutions.
• Manage significant projects across multiple functions and communicate effectively with senior internal stakeholders and external clients.

Candidate Profile

• 10+ years of professional experience within asset management, ideally within an established investment management organization.
• At least 5 years of direct experience with portfolio compliance, investment guidelines, mandate restrictions, or comparable investment compliance responsibilities.
• Strong understanding of how contractual and regulatory investment restrictions are interpreted, implemented, monitored, and escalated.
• Demonstrated experience managing and developing teams.
• Experience leading complex, cross-functional projects, including initiatives involving portfolio or third-party compliance technology.
• Direct experience working with clients on investment guidelines, restrictions, or related compliance matters.
• Strong interest in automation, process improvement, and emerging technology, including practical applications of AI.
• Proven ability to design and implement improvements to compliance processes, controls, and operating procedures.
• Strong analytical skills and exceptional attention to detail.
• Ability to manage multiple priorities and deadlines in a fast-moving investment environment.
• Proactive and comfortable operating at both strategic and hands-on levels.
• Excellent written and verbal communication skills, with the ability to work effectively with investment professionals, clients, legal teams, and senior leadership.