Investment Management Compliance Resume Sample

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Weldon Jacobson
5932 Davis Forge,  New York, NY
+1 (555) 888 7277

Work Experience


Compliance Manager Investment Management Compliance Adviser Team
10/2017 - PRESENT
Phoenix, AZ
  • Execute risk-based compliance testing and forensic testing to review and assess the effectiveness of the firm’s policies and procedures in compliance with Rules 38a-1 and 206(4)-7, including recommending corrective action plans for gaps
  • Coordinate with Investment Management testing personnel globally to track the progress of the test plan for reporting to the CCO, senior management and registered mutual funds’ Board
  • Experience in similar role in investment management
  • Working knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940 and applicable securities laws, FINRA and Department of Labor’s ERISA regulations
  • Assist, enhance, implement, and oversee the testing program for the firm’s proprietary mutual funds and registered investment adviser to support the Chief Compliance Officer’s 38a-1 and 206(4)-7 annual certification(s)
  • Support mutual fund trading and operations through pre and post trade guideline monitoring, (experience with Bloomberg and Longview’s LVTS helpful)
  • Co-working with overseas affiliates’ compliance officers for global projects on compliance related matters
Investment Management Compliance
08/2012 - 08/2017
Houston, TX
  • Assist in the governance and oversight framework of transfer agents
  • Advise the business on the due diligence of distributors
  • Rigorous oversight and challenge of processes within the team, including client onboarding process
  • Handle inquiries and questionnaires from MAS in relation to marketing materials, websites and funds’ matters etc
  • Participate in the development, implementation and execution of risk-based compliance testing to review and assess the effectiveness of the firm’s policies and procedures in compliance with Rules 38a-1 and 206(4)-7, including developing corrective action plans for gaps identified from testing
  • Prepare reports to the CCO, senior management and registered mutual funds’ Board on key testing metrics, test plan status updates and test results
  • Advise and assist licensed staff in selecting suitable training courses for CPT purposes
  • Development of appropriate Compliance management information including the production of annual and quarterly reporting to MSIM’s UK regulated entities’ Boards
  • Execute risk-based compliance testing and forensic testing to review and assess the effectiveness of the firm’s policies and procedures in compliance with Rules 38a-1 and 206(4)-7, including recommending corrective action plans for gaps identified from testing
Investment Management Compliance Testing Officer
08/2008 - 06/2012
Dallas, TX
  • Oversight and implementation of the testing program for the firm’s proprietary mutual funds and Registered Investment Adviser
  • On-boarding and maintenance of employees’’ personal trading accounts
  • Review and reconciliation of employee’s personal transactions against contract notes / account statements
  • Administer employee’s annual attestations for personal trading accounts and investment holdings
  • Advise business on PAD matters
  • Participate in regional / global projects on PAD initiatives
  • Execute the trade surveillance program to check regulatory/compliance controls for compliance with relevant regulations and internal policies and procedures
  • Monitor and discuss remediation activities related to compliance issues identified to ensure timely resolution and implementation of effective remediation controls
  • Maintenance of Banned and Restricted list in the systems

Education


George Fox University - Boise Center
2003 - 2007
Bachelor's Degree in Management

Professional Skills


  • Senior level operating experience in asset management Compliance gained within a major UK regulated entity
  • Researching and responding to compliance queries; providing general guidance on a broad array of policies/regulations, with a focus on ERISA matters
  • Supporting business teams with new business initiatives/products
  • Ideally, experience either in real estate investment advisory or traditional asset management. But compliance experience at securities firms can be counted. Experience at law firms in handling regulatory matters for financial institutions can also be counted
  • Knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940 and applicable securities laws, FINRA and Department of Labor’s ERISA regulations
  • Liaising with the business on relevant compliance issues, ensuring business understands relevant compliance policies and procedures with a focus on conflicts and suitability of products
  • Integrating compliance requirements into line of business policies, procedures, controls and training; develop related surveillance activities

How to write Investment Management Compliance Resume

Investment Management Compliance role is responsible for reporting, securities, training, trading, automation, general, compliance, analysis, inventory, marketing.
To write great resume for investment management compliance job, your resume must include:

  • Your contact information
  • Work experience
  • Education
  • Skill listing

Contact Information For Investment Management Compliance Resume

The section contact information is important in your investment management compliance resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:

  • First and last name
  • Email
  • Telephone number

Work Experience in Your Investment Management Compliance Resume

The section work experience is an essential part of your investment management compliance resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous investment management compliance responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular investment management compliance position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions. Representative Investment Management Compliance resume experience can include:

  • Coordinating the compliance-related diligence for new Investment Management products and/or services; and (2) assisting in supporting and implementation other key compliance-related processes and deliverables, as appropriate
  • Serving as the program / project manager on key Investment Management compliance-related initiatives; Build and maintain project timelines and plans for execution; Ensuring success of projects by managing scope, recognizing and resolving issues, managing and motivating team, managing resource contention, and shifting priorities
  • Developing strong relationships with the Investment Management Compliance leadership team, the Global Law and Compliance Division, and other groups throughout the Investment Management Division to drive projects/ initiatives and become a trusted partner
  • Assisting with designing the revised New Product Approval process
  • Coordinating the compliance-related review of new and/or enhanced Investment Management products and services as part of the new product diligence process to effectively assess compliance risks and ensure adherence with regulatory requirements; escalating any compliance issues to new product review team
  • Participating in special projects and transactions, including potentially M&A transactions

Education on an Investment Management Compliance Resume

Make sure to make education a priority on your investment management compliance resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your investment management compliance experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.

Additional details to include:

  • School you graduated from
  • Major/ minor
  • Year of graduation
  • Location of school
These are the four additional pieces of information you should mention when listing your education on your resume.

Professional Skills in Investment Management Compliance Resume

When listing skills on your investment management compliance resume, remember always to be honest about your level of ability. Include the Skills section after experience. Present the most important skills in your resume, there's a list of typical investment management compliance skills:

  • Maintaining MIS reporting and trending analysis
  • Assisting with core Compliance functions including risk assessments, and other projects driven by the corporate compliance team
  • Partner with testing team to risk assess policy procedures and controls; evaluate testing needed and make suggestions
  • Inventory Conflicts and partner with business to ensure procedures are in place to mitigate such conflicts
  • Keep abreast of regulatory developments, amend or draft policies and procedures as necessary
  • Provide Compliance support to the Wrap/SMA business

List of Typical Skills For an Investment Management Compliance Resume

1

Skills For Compliance Manager Investment Management Compliance Adviser Team Resume

  • Evaluating methods, processes and risks, and implementing improvements. Assisting the compliance testing team in conducting tests / monitoring policies and procedures and rolling out any required action plans
  • Liaising and coordinating with regional and global Compliance both central and MSIM, infrastructure groups and business functions
  • Reporting to and liaising with MSIM Boards and Fund Boards
  • Evaluating Compliance implications of the expansion of the MSIM branch network across EMEA; and of the existing cross border issues in current non-UK locations
  • Completing regular reports on status of key projects and new product approvals, as required
  • Leveraging technology to create automation solutions for compliance-related initiatives and deliverables
  • Understanding the regulatory framework and applicability for the business
2

Skills For Bank Discretionary Investment Management Compliance Director Resume

  • Providing advice with respect to new business activities, new products or changes in MSIM business line processes; and
  • Relationship management and day to day coverage of the investment teams, trading desks, product distribution and infrastructure functions
  • Implementation of new policies and procedures in response to significant regulatory change, e.g. SMCR, PRIIIPS and Benchmark Regulation
  • Development of appropriate Compliance management information including the production of annual and quarterly reporting to MSIM’s UK regulated entities’ Boards and Fund Boards

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