POSITION DESCRIPTION

Do you love to learn? Do you enjoy problem solving? Do you like to innovate? Then this is an exciting opportunity to work in a fast-paced, dynamic environment alongside a diverse group of highly motivated professionals.

In this role, you will gain exposure to trade activity, investment strategies, portfolio construction, and the implementation of regulatory and client investment guidelines. The Trade Compliance team is responsible for reviewing fixed income and equity transactions on both a pre- and post-trade basis to ensure compliance with applicable restrictions and regulations. You will have broad exposure to the Investment Guideline Compliance process and will partner closely with teams across Legal & Compliance, Technology, Account Management, Product Strategy, Operations, and the Trade Floor. 

As the compliance landscape continues to evolve, the team is increasingly focused on leveraging technology, automation, data analytics, and AI-enabled solutions to enhance operational efficiency, strengthen risk monitoring, and support continuous process improvement. This role offers the opportunity to contribute to these initiatives while developing deep expertise in investment compliance.

On a given day, your responsibilities might include:

• Analyzing transactions and portfolio holdings against regulatory, client, and internal guidelines, and calculating relevant risk metrics.
• Researching and responding to investment guideline inquiries from the Trade Floor and other internal and external stakeholders.
• Monitoring compliance alerts and ensuring trade activity is reviewed and compliant by the end of each business day. 
• Preparing and distributing compliance reports and management information to relevant internal stakeholders.
• Partnering with Compliance, Technology, and Operations teams to identify opportunities to improve processes, controls, and reporting.
• Participating in initiatives focused on optimizing, automating, and scaling Trade Compliance processes through technology-enabled solutions.
• Leveraging data analytics, workflow tools, and emerging technologies, including AI-enabled solutions where appropriate, to support monitoring, investigation, and reporting activities.
• Contributing to projects that improve data quality, operational efficiency, and the effectiveness of compliance oversight.

POSITION DESCRIPTION

Do you love to learn? Do you enjoy problem solving? Do you like to innovate? Then this is an exciting opportunity to work in a fast-paced, dynamic environment alongside a diverse group of highly motivated professionals.

In this role, you will gain exposure to trade activity, investment strategies, portfolio construction, and the implementation of regulatory and client investment guidelines. The Trade Compliance team is responsible for reviewing fixed income and equity transactions on both a pre- and post-trade basis to ensure compliance with applicable restrictions and regulations. You will have broad exposure to the Investment Guideline Compliance process and will partner closely with teams across Legal & Compliance, Technology, Account Management, Product Strategy, Operations, and the Trade Floor. 

As the compliance landscape continues to evolve, the team is increasingly focused on leveraging technology, automation, data analytics, and AI-enabled solutions to enhance operational efficiency, strengthen risk monitoring, and support continuous process improvement. This role offers the opportunity to contribute to these initiatives while developing deep expertise in investment compliance.

On a given day, your responsibilities might include:

• Analyzing transactions and portfolio holdings against regulatory, client, and internal guidelines, and calculating relevant risk metrics.
• Researching and responding to investment guideline inquiries from the Trade Floor and other internal and external stakeholders.
• Monitoring compliance alerts and ensuring trade activity is reviewed and compliant by the end of each business day. 
• Preparing and distributing compliance reports and management information to relevant internal stakeholders.
• Partnering with Compliance, Technology, and Operations teams to identify opportunities to improve processes, controls, and reporting.
• Participating in initiatives focused on optimizing, automating, and scaling Trade Compliance processes through technology-enabled solutions.
• Leveraging data analytics, workflow tools, and emerging technologies, including AI-enabled solutions where appropriate, to support monitoring, investigation, and reporting activities.
• Contributing to projects that improve data quality, operational efficiency, and the effectiveness of compliance oversight.