Portfolio Compliance

Job Overview

The Portfolio Compliance team is responsible for negotiating, establishing, interpreting and monitoring investment guidelines and the associated complex trading rules that are applicable to the firm and its clients.  The team partners with our portfolio management and investment services teams to support new investment initiatives across the firm’s global equity and derivative trading strategies and across developed, emerging and frontier markets.  The Portfolio Compliance team also works closely with the firm’s regulatory compliance, legal, and client relationship teams on regulatory and contractual matters relating to trading activities. 

We are seeking an experienced professional with an interest in automation and technology-enabled solutions to contribute to our team. The position will provide an individual with opportunities to apply their experience and analytical skills to a wide variety of projects and technological enhancements.

Responsibilities

• Evaluate proposed trades for compliance with applicable investment guidelines set forth by client contracts, offering memorandums and applicable regulations.
• Oversee the daily review and analysis of portfolio compliance alerts and warning reports.
• Contribute to and help lead portfolio rebalance session reviews.
• Ensure the proper set-up of client guidelines and client restrictions within the compliance system.
• Initiate and lead efforts to identify, test and implement systematic enhancements to existing workflows.
• Collaborate with team members and cross-functionally to support new investment initiatives and compliance with regulatory changes including developing, testing and implementing automated solutions to address new operational requirements.
• Analyze client guidelines and restrictions in support of new portfolio management initiatives.
• Oversee junior team members with inquiries related to daily tasks.

Qualifications

• 5-7 years of experience in the asset management industry, preferably at an established investment manager and preferably with at least 3 years of experience in portfolio guideline compliance
• Experience contributing to automation initiatives
• Working knowledge of equity and derivative instruments
• Ablity to thrive in a dynamic, fast-paced environment and prioritize under tight deadlines
• self-starter that works independently and proactively, thinking both strategically and tactically
• Has a keen interest in the use of technology to drive innovation and efficiency, including via AI tools and capabilities
• Experience contributing to automation initiatives and AI-enable technology solutions
• Strong analytical and organizational skills
• Effectively collaborates across teams/functions
• Excellent communication skills – oral and written

The base salary range for this position is $90,000 - $275,000 per year.

Arrowstreet Capital operates a robust talent acquisition program, and we also seek to compensate and reward our employees competitively within our industry and in line with our merit-based culture. Our approach to total compensation includes base salaries and annual discretionary bonuses, as well as a robust benefits package. The determination of a successful candidate’s base salary placement within the listed range will vary based on the candidate’s relevant experience and qualifications (which may also include relevant certifications, credentials and other education), the job responsibilities and scope, the commensurate resulting level of the position and other relevant factors. The listed range is also an estimate, and additional information regarding base salary and other elements of total compensation offered by Arrowstreet Capital to successful applicants will be communicated during the recruitment process.