Investment Compliance

Investment Compliance at Green Key Resources Investment Compliance at Green Key Resources in Jersey City, New Jersey Posted in 15 days ago.

Type:

full-time

Job Description:

Charles River ++++ Senior Associate - Investment Compliance Series 7~ This position offers direct interaction with investment operations, trading personnel, and cross-functional support teams within a fast-paced financial services environment. The role combines exposure to regulatory oversight, trade surveillance, forensic review processes, and operational controls, with opportunities for long-term professional growth. The successful candidate will be responsible for monitoring portfolio holdings and trading activity to ensure adherence to client mandates, internal governance standards, and applicable regulatory obligations across a range of managed investment vehicles and advisory accounts. Key Responsibilities Independently assess and resolve pre-trade and post-trade compliance alerts in partnership with trading, operations, and support teams Review daily compliance monitoring and trading exception reports, coordinating issue resolution across multiple business areas Prepare and complete required regulatory ownership and disclosure filings Partner with Compliance, Legal, Technology, Relationship Management, and Investment teams to address client reporting requests and regulatory inquiries Identify and implement process improvements and operational efficiencies through collaboration with internal technology resources Analyze historical account and trading activity to support client certifications and reporting requirements Prepare and submit international ownership disclosures, shareholder notifications, and related regulatory submissions across various jurisdictions Monitor and validate manual investment restriction controls based on established risk and oversight frameworks Maintain and update departmental policies, procedures, checklists, and governance documentation Conduct reconciliation and control review projects to ensure consistency across internal systems and data sources Support additional regulatory and compliance initiatives as assigned Qualifications Bachelor's degree with at least 5 years of relevant experience within investment management, asset management, or institutional financial services Strong understanding of capital markets and investment products, including experience with fixed income, equities, and derivatives preferred Familiarity with U.S. financial regulations governing investment advisers, registered funds, trading activity, and market oversight; exposure to international regulatory frameworks is a plus Ability to work independently while collaborating effectively within a team-oriented environment Strong analytical, organizational, and problem-solving capabilities with exceptional attention to detail Effective written and verbal communication skills across technical and non-technical stakeholders Proven ability to manage competing priorities and meet deadlines in a high-volume environment Experience with Bloomberg and other industry-standard financial systems and applications Industry licensing preferred or willingness to pursue relevant securities registrations