ResponsibilitiesAs an Investment Compliance Manager, you will be responsible for understanding and testing NISA's trading and investment processes for some of the largest asset owners in the world. Using NISA's data and technology, you will play a critical role in managing and documenting compliance with NISA's trading policies, including best execution and trade allocation. You will collaborate closely with the Portfolio Management Department and other stakeholders to develop deep knowledge of NISA's trading processes and data flows. You will also manage the development and execution of trade surveillance testing to verify compliance with regulatory standards and internal policies. Working closely with NISA's Risk Management Group, you will enhance controls and mitigate any identified process gaps. Specific responsibilities include, but are not limited to:
- Develop and execute testing across NISA's trading processes, including documenting and summarizing results
- Proactively identify compliance risks and implement corrective actions as necessary
- Review and maintain trade error logs/forms
- Assist with regulatory filings in various jurisdictions
- Act as a liaison between the Compliance and Portfolio Management Departments
- Participate in the continuous review and evaluation of the Compliance Program
- Monitor the evolving investment and trading landscape, adapting the testing program as appropriate
- Stay current with regulatory developments from the SEC and the CFTC/NFA
Qualifications- Bachelor's or master's degree in Mathematics, Statistics, Engineering, Finance or related field
- Professional certification (i.e., CFA, etc.) or advanced degree, or progression toward appropriate certification/degree is a plus
- Strong interest in financial markets and investment strategies
- 3+ years of experience in investment management industry
- Experience with investment advisory software, including but not limited to, accounting systems, order management systems, FundApps, Bloomberg, etc.
- Excellent analytical, communication, and problem-solving skills
- Strong critical thinking and decision-making skills
- Intellectual curiosity and willingness to learn
NISA's culture encourages collaboration and innovation. We seek self-motivated, intellectually curious individuals willing to push themselves and others in an environment that celebrates fresh thinking. We equip employees with the resources needed to excel and we encourage personal development. NISA is dedicated to internally cultivating and rewarding talent. Employees at NISA are provided with a wide range of benefits, including health, dental, vision and life insurance options, paid time off, a competitive retirement plan, onsite cafeteria, fitness center, a health and wellness program and an educational assistance program.
