Portfolio Compliance Consultant
| Company | American Century Investments |
|---|---|
| Location | Kansas City, MO, USA, New York, NY, USA |
| Salary | $105000 – $125000 |
| Type | Full-Time |
| Degrees | Bachelor’s |
| Experience Level | Senior |
Requirements
- Bachelor’s degree in Business, Economics, Finance, Accounting, or a related field, or an equivalent combination of education and experience.
- 5+ years of investment industry and compliance monitoring experience, with a focus on the Investment Company Act of 1940.
- Advanced knowledge of the regulatory environment of mutual funds, exchange-traded funds, and advisory accounts.
- Understanding of and experience with all investment securities, such as equity, fixed income, currency, and exchange-traded and OTC derivatives.
- Experience with Exchange Traded Funds (ETFs) and listing standards on US and non-US exchanges.
- Proven track record in preparing and administering investment compliance policies and procedures, and familiarity with the firm and its products.
- Experience in areas such as compliance, accounting, auditing, investment operations, and a regulatory environment, as well as with compliance-related systems and data sources.
- Strong ability to develop good working relationships with internal and external customers and partners, and to recognize and handle critical issues with tact and discretion.
- Ability to work independently and as a team member, prioritize tasks, meet deadlines, and think conceptually to translate plans into measurable steps for others.
- Proficiency in utilizing technology resources (e.g., Data Quant, Tableau) to develop compliance efficiencies, streamline existing processes, and learn specialized applications used in the portfolio compliance program (e.g., LatentZero Compliance, Bloomberg, proprietary Order Management System).
- Demonstrates the American Century Investments Winning Behaviors: Client Focused, Courageous and Accountable, Collaborative, Curious and Adaptable, Competitively Driven.
Responsibilities
- Monitor and review portfolios for compliance with investment objectives, limitations, and restrictions as identified in various documents and policies.
- Identify and research potential compliance exceptions, requiring review and analysis of compliance requirements, data quality, systems, and monitoring processes.
- Review assigned prospectuses, supplements, regulatory filings, and management agreements to identify investment policies and restrictions.
- Prepare and update compliance checklists, and present regular and special reports for fund boards, institutional clients, and internal users.
- Prepare regulatory filings and partner with business divisions including Investment Management, Trading, Investment Operations, IT, and Legal.
- Work with the portfolio compliance team and IT to develop or update monitoring and reporting processes due to changes in rules, regulations, or new products.
- Lead highly sophisticated compliance matters with minimal direct supervision.
- Contribute to the analysis and portfolio compliance monitoring of complex securities and derivatives.
Preferred Qualifications
- Experience with European Securities and Markets Authority regulation, UCITS Directive, and MiFID II regulation is a plus.
- Experience with non-US regulatory regimes, including SFDR and UCITS is a plus.