Senior Compliance Officer, Investment Compliance

Harris | Oakmark; Chicago (IL); Vor Ort; USD 120.000 - 180.000; Vollzeit

Zusammenfassung

Harris Associates seeks a Senior Compliance Officer, Investment Compliance, to lead interpretation of complex investment guidelines and regulatory requirements. You will translate rules into automated and manual controls, serve as a CRIMS subject-matter expert, and drive automation and standardization across the compliance program.

Work cross-functionally with investment, trading, operations and tech teams, overseeing post-trade surveillance, investigations, and remediation efforts to protect

Qualifikationen

• Bachelor’s degree and 10+ years of relevant investment management experience.
• Experience interpreting investment guidelines and client restrictions.
• Hands-on experience with U.S. registered funds and separately managed accounts.

Aufgaben

• Review and interpret client investment guidelines and governing documents.
• Translate guidelines into automated compliance rules and controls.
• Lead system implementations and testing for investment compliance processes.

Kenntnisse

Investment compliance

Regulatory analysis

CRIMS expertise

Analytical thinking

Interpersonal skills

Ausbildung

Bachelor’s degree

10+ years experience

Tools

CRIMS software

Jobbeschreibung

At Harris, the true value of what makes us successful is found in our people. It is our unique mix of cultures, experiences, beliefs and backgrounds that sets Harris apart from the rest. We constantly strive to cultivate, nurture and amplify an unparalleled environment, where we value intellectual curiosity and uniqueness of thought. Inclusion is embedded in the very fabric of our culture of collaboration and openness.

We understand that a job description only tells one part of a broader story, and Harris is seeking dynamic candidates who can add to our best-in-class environment. We recognize that qualifications can be gained through both traditional and non-traditional paths, and we are committed to considering candidates who possess the potential to be excellent in this role regardless of prior experiences.

Position Summary:

The Investment Compliance function is responsible for ensuring adherence to regulatory, prospectus, client-directed, and internal investment restrictions across portfolios managed by Harris Associates. The function partners closely with the firm’s investment, trading, portfolio implementation, operations, and other business teams to interpret investment requirements, implement effective compliance controls, identify and resolve compliance issues, and continuously enhance the firm’s investment compliance program.

The Senior Compliance Officer, Investment Compliance, reporting to the Head of Investment Compliance, plays a critical role in maintaining and enhancing the firm’s investment compliance framework. The Senior Compliance Officer will interpret complex investment guidelines and regulatory requirements and translate them into effective automated rules and documented manual controls; serve as a subject-matter expert for the Charles River Investment Management System (CRIMS); perform post-trade surveillance and forensic testing; and investigate and resolve complex investment compliance matters. The role will also lead efforts to improve the efficiency and effectiveness of the investment compliance program through automation, standardization, and improved system design. Success in this role requires intellectual curiosity, sound judgment, strong analytical capabilities, collaboration, and a commitment to delivering practical, high-quality compliance solutions.

Responsibilities may include but are not limited to:

• Review and interpret account governing documents, including investment management agreements, prospectuses, Statements of Additional Information, and client investment guidelines, to identify investment restrictions and monitoring requirements.
• Interpret client guidelines and regulatory requirements and translate them into effective automated compliance rules and documented manual controls.
• Support the onboarding of new accounts and implementation of new or amended investment guidelines, including identifying monitoring requirements, developing and testing controls, and coordinating implementation with relevant stakeholders.
• Serve as a subject-matter expert for CRIMS, including creating, testing, documenting, maintaining, and enhancing investment compliance rules involving complex or conditional logic.
• Maintain the accuracy and completeness of client portfolio guidelines, restriction lists, and related controls within investment compliance systems.
• Perform trade compliance monitoring, including reviewing alerts, trade overrides, potential breaches, and other exceptions, and coordinate timely investigation, escalation, documentation, and resolution.
• Investigate and resolve complex investment compliance matters by analyzing investment guidelines, portfolio holdings, benchmark data, security master information, and system outputs to identify root causes, assess potential regulatory or client impacts, and recommend appropriate remediation.
• Support Portfolio Implementation and Trading in addressing compliance-related inquiries from internal stakeholders and clients.
• Partner with investment, trading, operations, technology, and other teams to translate business and regulatory requirements into effective compliance solutions.
• Lead initiatives to strengthen and streamline investment compliance processes through automation, standardization, and improved system design.
• Participate in system implementations, upgrades, and enhancements affecting investment compliance, including requirements definition, user acceptance and regression testing, and validation of compliance rules and data.
• Assist with forensic testing of trading practices, including allocations, trade corrections, and cross trades, and identify potential regulatory concerns such as cherry-picking, portfolio pumping, and window dressing.
• Contribute to the review and enhancement of investment compliance and trading-related policies, procedures, and controls.
• Complete periodic client certifications, questionnaires, due diligence requests, and other monthly, quarterly, and annual compliance deliverables.

Qualifications

Required

• Bachelor’s degree and 10+ years of relevant investment management experience, including experience with U.S. registered funds and separately managed accounts.
• Significant hands-on experience interpreting investment