What are the responsibilities and job description for the Compliance Manager position at Dynamics Executive Search?
About the Firm
A well-established investment management firm with a long history of success is seeking a Compliance Analyst to join its collaborative and high-performing team. The firm is known for fostering a culture of excellence, integrity, and innovation—providing employees with the resources, mentorship, and inclusive environment needed to thrive. The organization takes pride in its low turnover and strong sense of community, emphasizing collaboration, professional development, and open communication.
About the Role
The Compliance Analyst will perform portfolio and trade surveillance to ensure adherence to client guidelines and regulatory requirements. This role involves transactional and forensic testing, compliance reviews across adviser and fund portfolios, and assisting in the administration of key compliance programs—including broker-dealer oversight, Code of Ethics monitoring, Form ADV updates, and trade cost analysis reporting.
Key Responsibilities
- Support ongoing monitoring and testing programs for investment advisers and funds.
- Assist with mutual fund trade restrictions, client guidelines, and 1940 Act limitations.
- Oversee post-trade compliance processes and collaborate with fund administrators on testing and review cycles.
- Conduct research and document findings for compliance exceptions, escalating results as appropriate.
- Participate in trade surveillance, insider trading, market manipulation, and policy compliance testing.
- Assist with compliance certifications and reporting deliverables.
- Support client due diligence and regulatory filings (e.g., Form ADV, FINRA submissions, Code of Ethics certifications).
- Respond to ad hoc requests and collaborate with portfolio managers in an active trading environment.
Qualifications
- Education: Bachelor’s degree required.
- Experience: 4-10 years in compliance, fund administration, or a related function.
- Preferred: Familiarity with investment adviser or mutual fund operations (compliance monitoring, fund accounting, or risk management).
- Skills:
- Strong analytical and organizational skills with the ability to manage multiple priorities.
- Excellent written and verbal communication abilities.
- Proficiency in Microsoft Office applications.
- Ability to work both independently and as part of a team in a fast-paced environment.
- Detail-oriented mindset with a focus on accuracy and risk awareness.