Investment Compliance Chief & Regulatory Strategy Lead

Thornburg Investment Management; Santa Fe (NM); On-site; USD 120,000 - 160,000; Full time

Benefits offered by this job

Medical, dental, and vision coverage

401(k) safe harbor and profit-sharing contributions

Flexible work arrangements

Onsite cafeteria

Onsite fitness center

Job summary

A private investment firm is seeking a Head of Investment Compliance. In this leadership role, you will establish a comprehensive compliance framework guiding investment activities and ensuring adherence to regulatory standards. Key responsibilities include designing compliance programs, advising portfolio managers, and monitoring investment strategies. The ideal candidate has over 10 years of experience in investment compliance, holds a relevant degree, and possesses strong analytical and communication skills.

Qualifications

• Minimum 10 years of investment compliance experience at an asset management firm.
• Demonstrated leadership in designing and overseeing compliance programs.
• Deep knowledge of the Investment Company Act of 1940.

Responsibilities

• Design, implement, and oversee the investment compliance program.
• Establish surveillance systems for portfolio management and trading practices.
• Provide guidance on new investment products and compliance matters.

Skills

Regulatory compliance

Stakeholder engagement

Analytical skills

Leadership

Problem solving

Communication

Education

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

Advanced degree (JD, MBA, or Master’s in Finance)

Tools

Order/execution management systems

Bloomberg AIM

Job description

A private investment firm is seeking a Head of Investment Compliance. In this leadership role, you will establish a comprehensive compliance framework guiding investment activities and ensuring adherence to regulatory standards. Key responsibilities include designing compliance programs, advising portfolio managers, and monitoring investment strategies. The ideal candidate has over 10 years of experience in investment compliance, holds a relevant degree, and possesses strong analytical and communication skills.