Strategic Investment Compliance Leader

Innovative Signal Analysis, Inc.; Chicago (IL); On-site; USD 155,000 - 175,000; Full time

Benefits offered by this job

Medical insurance

401k plan

Tuition reimbursement

Commuter benefits

Job summary

Harris Associates L.P. in Chicago seeks a Senior Compliance Officer, Investment Compliance, to interpret complex investment guidelines, translate them into automated rules and robust controls, and lead efforts to improve the firm’s compliance program.

This role requires collaboration across Investments, Trading, Operations, Technology and Compliance, with responsibilities including post-trade surveillance, system testing, and the design of scalable, compliant processes.

Qualifications

• Bachelor’s degree and 10+ years of relevant investment management experience.
• Experience interpreting investment guidelines and designing automated compliance rules.
• Understanding of trade order lifecycle and pre-/post-trade monitoring.
• Knowledge of U.S. investment management regulation (Investment Advisers Act, Investment Company Act).
• Strong data-management and Excel proficiency, with ability to analyze portfolio and compliance data.
• Excellent written and verbal communication, with ability to explain complex compliance matters clearly.

Responsibilities

• Review and interpret client investment guidelines and governing documents to identify restrictions and monitoring requirements.
• Translate client guidelines and regulatory requirements into automated rules and documented controls.
• Support onboarding of new accounts and implementation of investment guidelines.
• Serve as subject‑matter expert for CRIMS, including creating and testing rules.
• Maintain accuracy of client portfolio guidelines and related controls in systems.
• Perform trade compliance monitoring and investigate potential breaches and exceptions.
• Analyze guidelines and data to identify root causes and determine remediation.
• Collaborate with Portfolio Implementation, Trading, Operations, and Technology on solutions.
• Lead initiatives to automate and standardize investment compliance processes.
• Participate in system implementations, upgrades, and validation of rules and data.
• Assist with forensic testing of trading practices and detect issues such as cherry-picking or window dressing.
• Contribute to policies and controls related to investment compliance and trading.

Skills

Analytical skills

Communication skills

Cross-functional collaboration

Attention to detail

Self-motivated

Education

Bachelor’s degree

Tools

Charles River

CRIMS

SQL

Power BI

Excel

Job description

Harris Associates L.P. in Chicago seeks a Senior Compliance Officer, Investment Compliance, to interpret complex investment guidelines, translate them into automated rules and robust controls, and lead efforts to improve the firm’s compliance program.

This role requires collaboration across Investments, Trading, Operations, Technology and Compliance, with responsibilities including post-trade surveillance, system testing, and the design of scalable, compliant processes.