Senior Manager, Investment Compliance

Oliver James Group; Baltimore (MD); On-site; USD 120,000 - 160,000; Full time

Job summary

Oliver James Group partners with a leading global investment management firm to fill a Senior Manager role focused on Investment Compliance Monitoring. You will own a team-wide monitoring framework across pre-trade, post-trade and batch processes, driving data-led improvements and AI-enabled solutions.

You will lead, mentor, and develop a high-performing team while partnering with cross-functional groups to ensure governance, regulatory readiness, and adherence to investment guidelines.

Qualifications

• Direct experience in Investment Compliance within a buy-side/investment management firm.
• Strong knowledge of investment guidelines, portfolio restrictions and monitoring processes.
• Experience leading, developing and motivating a team and driving improvements.
• Proven stakeholder management skills and ability to communicate complex issues clearly.

Responsibilities

• Lead investment compliance monitoring across pre-trade, post-trade and batch processes.
• Oversee interpretation and application of investment guidelines and compliance requirements.
• Identify opportunities to strengthen controls and optimize monitoring rules.
• Partner with investment, trading, legal, risk and operations teams to resolve issues.
• Drive automation, data-led improvements and AI-enabled solutions.
• Develop and mentor a team, shaping objectives and a culture of accountability.
• Support governance, regulatory changes, audit readiness and framework evolution.

Skills

Investment compliance

Team leadership

Process improvement

Stakeholder management

Communication

AI/data-driven

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.