Portfolio Compliance Officer – Asset Management

Madison-Davis, LLC; Boston (MA); Sur place; USD 120 000 - 160 000; Plein temps

Résumé du poste

Madison-Davis, LLC, a Boston-based investment management firm, is seeking an experienced Portfolio Compliance professional to oversee guideline monitoring, trading restrictions, and regulatory compliance across global strategies. The role collaborates with portfolio managers, trading, legal, and compliance to ensure activities meet client mandates and regulatory requirements.

It emphasizes automation and AI, with opportunities to design and implement technology-driven monitoring solutions.

Qualifications

• 5–7 years in asset management or investment compliance.
• Knowledge of equity securities, derivatives and trading activities.
• Experience interpreting investment restrictions, monitoring alerts, and assessing trading activity.
• Involvement in automation, workflow optimization, or technology enhancements.
• Strong analytical, problem-solving, and organizational skills.
• Ability to manage competing priorities in a fast-paced environment.
• Excellent communication across investment, technology, and compliance teams.
• Proactive, independent approach to identifying and resolving issues.

Responsabilités

• Monitor portfolios and proposed transactions for adherence to client mandates, investment restrictions and regulatory requirements.
• Review and resolve daily compliance alerts, trading exceptions, and potential guideline breaches.
• Interpret complex investment guidelines and translate requirements into actionable trading controls.
• Configure and maintain investment restrictions and monitoring rules within portfolio compliance systems.
• Participate in portfolio rebalancing reviews and assess proposed investment activity for compliance implications.
• Identify opportunities to automate compliance monitoring, improve workflows, and reduce manual processes.
• Support design, testing and implementation of technology-driven compliance solutions.
• Collaborate with technology and business teams on system enhancements and new investment initiatives.
• Partner with portfolio management, trading, legal, and client service teams to address questions and compliance matters.
• Evaluate investment restrictions associated with new client mandates, strategies and financial instruments.
• Support the implementation of regulatory changes affecting investment activities.
• Provide guidance to junior team members and assist with complex compliance inquiries.

Connaissances

Asset management compliance

Investment trading

Automation/AI initiatives

Analytical/problem solving

Cross-functional collaboration

Communication skills

Prioritization in fast-paced env

Outils

Compliance systems

Automation tooling

Description du poste

An established investment management firm is seeking an experienced Portfolio Compliance professional to oversee investment guideline monitoring, trading restrictions, and regulatory compliance across global investment strategies.

This role works closely with portfolio managers, trading teams, legal, and compliance stakeholders to ensure investment activities align with client mandates and regulatory requirements. The ideal candidate combines hands‑on investment compliance experience with strong technical capabilities and an interest in automation, AI, and process improvement.

Key Responsibilities

Investment Compliance & Trade Monitoring

• Monitor investment portfolios and proposed transactions for adherence to client mandates, investment restrictions, and regulatory requirements.
• Review and resolve daily compliance alerts, trading exceptions, and potential guideline breaches.
• Interpret complex investment guidelines and translate requirements into actionable trading controls.
• Configure and maintain investment restrictions and monitoring rules within portfolio compliance systems.
• Participate in portfolio rebalancing reviews and assess proposed investment activity for compliance implications.

Technology & Process Enhancement

• Identify opportunities to automate compliance monitoring, improve workflows, and reduce manual processes.
• Support the design, testing, and implementation of technology-driven compliance solutions.
• Explore AI-enabled tools and analytical capabilities to enhance monitoring accuracy and operational efficiency.
• Collaborate with technology and business teams on system enhancements and new investment initiatives.

Cross-Functional Collaboration

• Partner with portfolio management, trading, legal, and client service teams to address investment guideline questions and compliance matters.
• Evaluate investment restrictions associated with new client mandates, strategies, and financial instruments.
• Support the implementation of regulatory changes affecting investment activities.
• Provide guidance to junior team members and assist with complex compliance inquiries.

Required

• 5–7 years of experience in asset management or investment management compliance.
• Working knowledge of equity securities, derivatives, and portfolio trading activities.
• Experience interpreting investment restrictions, monitoring compliance alerts, and assessing trading activity.
• Demonstrated involvement in automation, workflow optimization, or technology enhancement initiatives.
• Strong analytical, problem‑solving, and organizational skills.
• Ability to manage competing priorities and deliver results in a fast‑paced environment.
• Excellent communication skills and ability to collaborate across investment, technology, and compliance teams.
• Proactive, independent approach to identifying and resolving issues.

Preferred

• At least 3 years of direct portfolio guideline compliance experience.
• Background with an established institutional investment manager.
• Experience configuring investment compliance rules and restrictions within automated monitoring platforms.
• Familiarity with AI-enabled compliance tools and technology-driven process improvements.
• Exposure to global equity and derivative strategies across international markets.