Senior Portfolio Compliance

Arrowstreet Capital, Limited Partnership; Boston (MA); On-site; USD 90,000 - 275,000; Full time

Job summary

Arrowstreet Capital is seeking a senior compliance professional to lead the Portfolio Compliance team in Boston. The role focuses on automating and enhancing technology-enabled solutions while ensuring adherence to client contracts, investment guidelines, and regulations.

The ideal candidate has 10+ years in asset management with 5+ years in guideline compliance, proven team leadership, and strong collaboration with clients and internal teams. A data-driven, proactive approach is essential.

Qualifications

• 10+ years of experience in the asset management industry, with at least 5 years in portfolio guideline compliance.
• Experience leading teams and large-scale projects, including third-party compliance systems.
• Proven ability to communicate with clients on investment guideline matters.
• Ability to thrive in a dynamic, fast-paced environment and prioritize under tight deadlines.
• Self-starter who thinks strategically and tactically with a strong attention to detail.

Responsibilities

• Lead a team ensuring proposed trades comply with client contracts, guidelines, and regulations.
• Draft and negotiate investment guidelines with clients considering objectives and internal requirements.
• Identify, test, and implement automated enhancements to workflows.
• Support new initiatives and regulatory changes with automated solutions.
• Analyze client guidelines for new portfolio management initiatives.
• Oversee setup of client guidelines and restrictions in the compliance system.
• Oversee daily portfolio compliance alerts, warning reports, and rebalance sessions.
• Communicate guideline matters to clients and senior internal audiences.

Skills

Leadership

Client communication

Strategic thinking

Analytical skills

Regulatory compliance

AI interest

Tools

Compliance systems

Job description

Job Overview

The Portfolio Compliance team is responsible for negotiating, establishing, interpreting and monitoring investment guidelines and the associated complex trading rules that are applicable to the firm and its clients. The team partners with our portfolio management and investment services teams to support new investment initiatives across the firm’s global equity and derivative trading strategies and across developed, emerging and frontier markets. The Portfolio Compliance team also works closely with the firm’s regulatory compliance, legal, and client relationship teams on regulatory and contractual matters relating to trading activities.

We are seeking an experienced, senior compliance professional with an interest in automation and technology-enabled solutions to lead our team. The position will provide an individual with opportunities to apply their experience and analytical skills to a wide variety of projects and technological enhancements.

Responsibilities

• Lead a team responsible for ensuring that proposed trades are in compliance with applicable investment guidelines set forth by client contracts, offering memorandums, and applicable regulations.
• Partner with our portfolio management team, investment services team, client relationship team, and legal teams to draft and negotiate investment guidelines with clients, taking into account client objectives, the firm’s investment process, operational capabilities, and other internal requirements.
• Initiate and lead efforts to identify, test, and implement systematic enhancements to existing workflows.
• Support new investment initiatives and compliance with regulatory changes by identifying, testing, and implementing automated solutions to address new operational requirements.
• Analyze client guidelines and restrictions in support of new portfolio management initiatives.
• Oversee the proper set-up of client guidelines and client restrictions within the compliance system.
• Oversee the analysis and resolution of daily portfolio compliance alerts and warning reports.
• Oversee portfolio rebalance sessions.
• Communicate with clients and internal senior audiences on investment guideline related matters.

Qualifications

• 10+ years of experience in the asset management industry, preferably at an established investment manager, with at least 5 years of experience in portfolio guideline compliance
• Experience leading teams and large-scale projects, including projects related to third-party compliance systems
• Demonstrated experience communicating and collaborating with clients on investment guideline related matters
• Ability to thrive in a dynamic, fast-paced environment and prioritize under tight deadlines
• Self-starter that works proactively and thinks both strategically and tactically
• Demonstrated ability to identify, design and implement improvements to existing processes and procedures with a keen interest in the use of technology, including as it relates to leveraging AI
• Ability to prioritize and effectively manage competing priorities and projects while maintaining a strong attention to detail
• Strong analytical and organizational skills
• Effectively collaborates across teams/functions
• Excellent communication skills – oral and written
• Comfortable communicating and collaborating directly with clients
• Experience managing teams

The base salary range for this position is $90,000 - $275,000 per year.

Arrowstreet Capital operates a robust talent acquisition program, and we also seek to compensate and reward our employees competitively within our industry and in line with our merit-based culture. Our approach to total compensation includes base salaries and annual discretionary bonuses, as well as a robust benefits package. The determination of a successful candidate’s base salary placement within the listed range will vary based on the candidate’s relevant experience and qualifications (which may also include relevant certifications, credentials, and other education), the job responsibilities and scope, the commensurate resulting level of the position and other relevant factors. The listed range is also an estimate, and additional information regarding base salary and other elements of total compensation offered by Arrowstreet Capital to successful applicants will be communicated during the recruitment process.

Arrowstreet Capital is a Boston-based systematic investment firm that manages global equity portfolios for institutional investors around the world.

All qualified applicants will receive consideration for employment without regard to sex, race, color, religion, national origin, ancestry, genetic information, age, pregnancy, medical condition, disability, veteran or military status, marital status, or any other characteristic protected by federal, state, or local law.

Arrowstreet Capital is committed to working with and providing reasonable accommodations for qualified individuals with disabilities and disabled veterans. If you need a reasonable accommodation for any part of the employment process due to a disability, contact us to discuss the nature of your request and contact information.