Portfolio Compliance Officer – Asset Management

An established investment management firm is seeking an experienced Portfolio Compliance professional to oversee investment guideline monitoring, trading restrictions, and regulatory compliance across global investment strategies.

This role works closely with portfolio managers, trading teams, legal, and compliance stakeholders to ensure investment activities align with client mandates and regulatory requirements. The ideal candidate combines hands-on investment compliance experience with strong technical capabilities and an interest in automation, AI, and process improvement.

Key Responsibilities

Investment Compliance & Trade Monitoring

Monitor investment portfolios and proposed transactions for adherence to client mandates, investment restrictions, and regulatory requirements.Review and resolve daily compliance alerts, trading exceptions, and potential guideline breaches.Interpret complex investment guidelines and translate requirements into actionable trading controls.Configure and maintain investment restrictions and monitoring rules within portfolio compliance systems.Participate in portfolio rebalancing reviews and assess proposed investment activity for compliance implications.

Technology & Process Enhancement

Identify opportunities to automate compliance monitoring, improve workflows, and reduce manual processes.Support the design, testing, and implementation of technology-driven compliance solutions.Explore AI-enabled tools and analytical capabilities to enhance monitoring accuracy and operational efficiency.Collaborate with technology and business teams on system enhancements and new investment initiatives.

Cross-Functional Collaboration

Partner with portfolio management, trading, legal, and client service teams to address investment guideline questions and compliance matters.Evaluate investment restrictions associated with new client mandates, strategies, and financial instruments.Support the implementation of regulatory changes affecting investment activities.Provide guidance to junior team members and assist with complex compliance inquiries.

Required

5–7 years of experience in asset management or investment management compliance.Working knowledge of equity securities, derivatives, and portfolio trading activities.Experience interpreting investment restrictions, monitoring compliance alerts, and assessing trading activity.Demonstrated involvement in automation, workflow optimization, or technology enhancement initiatives.Strong analytical, problem-solving, and organizational skills.Ability to manage competing priorities and deliver results in a fast-paced environment.Excellent communication skills and ability to collaborate across investment, technology, and compliance teams.Proactive, independent approach to identifying and resolving issues.

Preferred

At least 3 years of direct portfolio guideline compliance experience.Background with an established institutional investment manager.Experience configuring investment compliance rules and restrictions within automated monitoring platforms.Familiarity with AI-enabled compliance tools and technology-driven process improvements.Exposure to global equity and derivative strategies across international markets.