Portfolio Compliance Consultant
Portfolio Compliance Consultant
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$ 105000 - 125000
1 Vacancy
Job Description
About Us
American Century Investments is a leading global asset manager with over 65 years of experience helping a broad base of clients achieve their financial goals. Our expertise spans global equities and fixed income multiasset strategies ETFs and private investments.
Privately controlled and independent we focus solely on investment management. But theres an unexpected side to us too. We direct over 40 of our profits every yearmore than $2 billion since 2000to the Stowers Institute for Medical Research. Our ongoing financial support drives the Institutes breakthrough work and mission of defeating lifethreatening diseases like cancer and Alzheimers. So the better we do for our clients the more we can do for everyone.
All 1400 of us across the globe are inspired every day by the unique difference our hard work can make in so many lives. It shows in the curiosity we bring to every initiative the deep relationships we build with our clients and the way we treat each other in the hallway. If youre excited to learn more about us we cant wait to learn more about you.
Role Summary
The Compliance Consultant is responsible for a broad range of regulatory and compliance work that involves the oversight and support of the Investment Compliance Program. Responsibilities include identifying researching analyzing and recommending resolutions to potential portfolio compliance issues; preparing board and client reports; working with IT to implement new technologies for monitoring compliance; documenting processes assisting in the implementation of new regulatory requirements and new product requirements for monitoring compliance and assisting in department planning.
This onsite position will be based out of our Kansas City MO or New York City NY office.
How You Will Make an Impact
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.
What You Bring to the Team
Bachelors 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 exchangetraded funds and advisory accounts.
Understanding of and experience with all investment securities such as equity fixed income currency and exchangetraded and OTC derivatives.
Experience with Exchange Traded Funds (ETFs) and listing standards on US and nonUS 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 compliancerelated 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.
Additional Assets
Experience with European Securities and Markets Authority regulation UCITS Directive and MiFID II regulation is a plus.
Experience with nonUS regulatory regimes including SFDR and UCITS is a plus.
What We Offer
Competitive compensation package with bonus plan
Generous PTO and competitive benefits
401k with 5 company match plus annual performancebased discretionary contribution
Tuition reimbursement formal mentorship program live and online learning
For New York based candidates the salary range for this role is $105000$125000. Actual offers are based on various factors including but not limited to a candidates location skills experience and relevant education and/or training. This position is eligible for cash incentive providing the potential to earn more.
Employees are required to be in the office on a scheduled frequency. Adherence to this schedule is essential to fulfilling the expectations of the role.
American Century Investments is committed to complying with the Americans with Disabilities Act and all other applicable Equal Employment Opportunity laws and regulations. As such American Century strives to provide a reasonable accommodation to any qualified individual under the ADA to perform essential job functions.
We encourage people of all backgrounds to join us on our mission. If you require reasonable accommodation for any aspect of the recruitment process please send a request to All requests for accommodation will be addressed as confidentially as practicable.
American Century Investments believes all individuals are entitled to equal employment opportunity and advancement opportunities without regard to race religious creed color sex national origin ancestry physical disability mental disability medical condition genetic information marital status gender gender identity gender expression age for individuals forty years of age and older military and veteran status sexual orientation and any other basis protected by applicable federal state and local laws. ACI does not discriminate or adopt any policy that discriminates against an individual or any group of individuals on any of these bases.
American Century Proprietary Holdings Inc. All rights reserved.
Required Experience:
Contract
Employment Type
Full-Time
