Description: The Senior Portfolio Compliance Officer will be responsible for overseeing and managing the compliance activities related to the company's investment portfolios.
This role will play a key part in ensuring that the organization adheres to all relevant regulatory and compliance requirements, including internal policies and procedures.
Responsibilities: - Develop, implement, and maintain compliance policies and procedures for the company's investment portfolios - Monitor the portfolios to ensure compliance with regulatory requirements, investment guidelines, and set limits - Conduct regular compliance reviews and audits to identify any potential issues or violations - Coordinate with internal teams, external vendors, and regulatory authorities to resolve compliance-related matters - Provide guidance and training to portfolio managers and other stakeholders on compliance best practices - Stay up-to-date on industry trends and changes in regulations to proactively address potential compliance risks - Participate in compliance-related projects and initiatives as required Qualifications: - Bachelor's degree in finance, business, or a related field; advanced degree or professional certification (e.g.,CA, Professional Accountant) preferred - Minimum of 5 years of experience in portfolio compliance, preferably in the financial services industry - Strong knowledge of investment regulations, compliance frameworks, and best practices - Excellent analytical, problem-solving, and decision-making skills - Ability to communicate effectively with all levels of the organization, both verbally and in writing - Detail-oriented and able to prioritize and manage multiple tasks effectively - Proficiency in compliance software and tools The Senior Portfolio Compliance Officer will report to the Chief Compliance Officer and work closely with other members of the compliance and investment teams to ensure that the company's investment portfolios are managed in accordance with all relevant compliance requirements.
Strong leadership, communication, and analytical skills are essential for success in this role.