Senior Manager, Investment Compliance & Middle Office

Oliver James Group; Baltimore (MD); Hybrid; USD 158,000 - 193,000; Full time

Benefits offered by this job

Competitive benefits

Career development

Job summary

Oliver James Group in Baltimore, MD seeks an experienced Senior Manager, Middle Office Investment Operations to lead investment compliance oversight. The role focuses on ensuring portfolios meet regulatory requirements, client guidelines, and internal policies while coordinating with investment professionals, trading teams, and operations.

The ideal candidate has strong investment management knowledge, leadership experience, and the ability to communicate with senior stakeholders.

Qualifications

• Strong background in investment management, asset management, or compliance.
• Experience with investment guidelines and regulatory controls.
• Excellent communication and stakeholder management.
• Demonstrated leadership and cross-functional collaboration.

Responsibilities

• Oversee day-to-day investment compliance monitoring to align with regulations and client policies.
• Support interpretation and monitoring of investment guidelines across asset classes.
• Partner with portfolio managers, trading, operations, and compliance to resolve issues.
• Provide leadership to investment compliance processes and risk management.
• Review breaches and escalate as needed to resolve issues.
• Identify opportunities to strengthen internal controls and streamline workflows.
• Collaborate with technology and operations on system enhancements and automation.
• Communicate findings and initiatives to senior leadership and stakeholders.
• Develop and improve policies, procedures, and controls for compliance.

Skills

Investment compliance

Portfolio operations

Leadership

Stakeholder management

Job description

Oliver James Group in Baltimore, MD seeks an experienced Senior Manager, Middle Office Investment Operations to lead investment compliance oversight. The role focuses on ensuring portfolios meet regulatory requirements, client guidelines, and internal policies while coordinating with investment professionals, trading teams, and operations.

The ideal candidate has strong investment management knowledge, leadership experience, and the ability to communicate with senior stakeholders.