Senior Manager, Compliance

Oliver James Group; Baltimore (MD); On-site; USD 170,000 - 230,000; Full time

Benefits offered by this job

Relocation assistance available

Job summary

Oliver James Group partners with a leading global investment management firm to hire a Senior Manager to lead its Investment Compliance Monitoring function. This role combines deep technical knowledge of investment guidelines and monitoring with hands-on leadership to own a team-wide monitoring framework.

You will oversee pre-trade, post-trade and batch processes, partner with trading, legal, risk and operations, and drive data-led improvements and AI-enabled solutions.

Qualifications

• Experience in Investment Compliance within asset management.
• Proven leadership and team development.
• Ability to communicate complex issues to stakeholders.

Responsibilities

• Lead investment compliance monitoring across pre-trade, post-trade and batch processes.
• Oversee interpretation of guidelines, portfolio restrictions and monitoring requirements.
• Identify opportunities to strengthen controls and improve monitoring processes.
• Partner with investment professionals, trading, legal, risk and operations to resolve issues.
• Drive automation and data-led improvements including AI-enabled solutions.
• Develop and mentor a team with clear objectives and accountability.
• Support governance, regulatory changes, audit readiness and framework evolution.
• Relocation assistance available.

Skills

Investment compliance

Investment guidelines

Team leadership

Process improvement

Stakeholder management

Communication

Data-driven monitoring

Tools

Charles River

Aladdin

Job description

We are partnering with a leading global investment management firm to find a Senior Manager to lead its Investment Compliance Monitoring function. This is an opportunity for an experienced investment compliance leader to take ownership of a team-wide monitoring framework, combining technical expertise across multiple asset classes with people leadership, process improvement and strategic initiatives. The opportunity

• Lead investment compliance monitoring across pre-trade, post-trade and batch processes.
• Oversee the interpretation and application of investment guidelines, portfolio restrictions and compliance requirements.
• Identify opportunities to strengthen controls, improve monitoring processes and optimize compliance rules.
• Partner with investment professionals, trading, legal, risk and operations teams to resolve complex issues and support business objectives.
• Drive automation, data-led improvements and emerging AI-enabled solutions.
• Develop and mentor a team, setting clear objectives and building a culture of accountability and continuous improvement.
• Support governance, regulatory changes, audit readiness and the evolution of the wider monitoring framework.

What we’re looking for

• Direct experience in Investment Compliance, ideally within an asset manager or a buy-side investment environment.
• Strong knowledge of investment guidelines, portfolio restrictions and monitoring processes.
• Experience leading, developing and motivating a team.
• A track record of improving processes, strengthening controls or supporting transformation initiatives.
• Strong stakeholder management skills and the ability to communicate complex issues clearly.
• Experience with Charles River, Aladdin or a comparable investment compliance/order management platform is beneficial.

This role would suit someone who enjoys combining technical investment compliance expertise with hands-on leadership, while helping a team develop and adapt as the business evolves.'

RELOCATION ASSISTANCE AVAILABLE