Head of Investment Compliance at THORNBURG INVESTMENT MANAGEMENT INC

Cuyamungue, New Mexico, United States -

Full Time

Start Date

Immediate

Expiry Date

07 Apr, 26

Salary

0.0

Posted On

07 Jan, 26

Experience

10 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Investment Compliance, Regulatory Oversight, Program Management, Investment Monitoring, Surveillance, Advisory, Training, Risk Management, Reporting, Regulatory Change Management, Leadership, Stakeholder Engagement, Analytical Skills, Problem Solving, Portfolio Management, Trading Operations

Industry

Financial Services

Description

Description Thornburg is seeking an experienced investment compliance professional to lead our investment compliance function. As Head of Investment Compliance, you will be responsible for establishing and maintaining a comprehensive compliance framework that ensures our investment activities adhere to all applicable regulations, internal policies and fiduciary obligations. In addition, you will be responsible for assisting with material non-public information, research/commissions oversight, trade errors, and other investment compliance issues. This is a critical leadership role that requires both strategic thinking and hands-on execution in a complex and fast-paced investment environment DUTIES AND RESPONSIBILITIES: Regulatory Oversight & Program Management: You will design, implement and oversee the firm’s investment compliance program, ensuring adherence to SEC, FINRA, Irish Central Bank regulations, and other regulatory requirements. Investment Monitoring & Surveillance: You will establish and maintain surveillance systems to monitor portfolio management activities, trading practices and investment restrictions. This also includes ensuring compliance with client investment guidelines, prospectus requirements and regulatory restrictions across all investment strategies. Advisory & Training: You will serve as a trusted advisor to portfolio managers, traders and senior leadership on compliance matters. This may include providing guidance on new investment products, trading strategies and business initiatives. Committee Representation & Client Facing: You will be asked to participate in various committees across the firm such as best execution, liquidity, pricing and valuation, derivatives and enterprise risk. Additionally, you will be asked to meet with clients in due diligence meetings to explain your role as Head of Investment Compliance. Risk Management & Reporting: You will identify, assess, and mitigate compliance risks across the investment platform. This may include conducting risk assessments, testing key controls, investigating potential violations and reporting findings to senior management. Regulatory Change Management: You will monitor regulatory developments affecting the asset management industry and assess their impact on firm operations. This would include implementing necessary policy changes, system enhancements and process modifications to maintain compliance with evolving requirements. Requirements Bachelor’s degree in finance, law, business, accounting, or related field required. Advanced degree (JD, MBA, or Master’s in Finance) strongly preferred. Minimum 10 years of investment compliance experience at an asset management firm, with direct exposure to equity and fixed-income mutual funds, ETFs, UCITS, and separately managed accounts. Demonstrated leadership in designing, implementing, and overseeing comprehensive compliance programs. Proven ability to engage and influence stakeholders at all levels, including senior leadership, regulators, and clients. Deep knowledge of the Investment Company Act of 1940 and the Investment Advisers Act of 1940 Familiarity with global regulatory frameworks (e.g., MiFID II, UCITS, AIFMD, Irish Central Bank) and their impact on asset management operations. Experience managing and developing compliance teams of varying sizes. Significant hands-on experience with order/execution management systems, preferably Bloomberg AIM. Understanding of portfolio management processes, trading operations and investment strategies across multiple asset classes. Strong communication skills and ability to engage and influence stakeholders at all levels Strong analytical and problem solving skills with the ability to assess complex compliance issues and develop practical solutions. Job Benefits Medical, dental, and vision coverage. Employer 401(k) safe harbor and profit-sharing contributions. Work/life programs such as flexible work arrangements, flexible paid time off, paid parental leave, employee assistance plan, commuter benefits, student loan repayment program, education reimbursement program. Community involvement opportunities. Onsite cafeteria. Onsite fitness center. Referral program. Santa Fe is the capital of New Mexico. Founded in 1610 and nicknamed "The City Different," Santa Fe captures hearts and minds with its museums, restaurants, theater, opera, and adobe-style architecture. With an average of over 300 sunny days per year and picturesque landscape, it's no wonder that outdoor activities such as skiing and hiking in "The Land of Enchantment" attract visitors from around the world. All qualified applicants will receive consideration for employment without regard to age, race, color, religion, sex, national origin, disability, gender, gender identity or protected veteran status.

Responsibilities

The Head of Investment Compliance will design, implement, and oversee the firm's investment compliance program, ensuring adherence to various regulatory requirements. This role also involves serving as a trusted advisor on compliance matters and managing compliance risks across the investment platform.