Overview As part of Global Investment Operations, you lead a high-visibility monitoring function to ensure portfolios comply with regulations, client requirements, and internal controls. You will partner with senior stakeholders across Investment, Legal, Risk, and Operations to shape a scalable monitoring program and drive process improvements. This role emphasizes automation, governance, and effective interpretation of complex guidelines in a global, trading-focused context. You will help strengthen controls and deliver insights through GCIR reporting and risk-based monitoring. This is an impactful opportunity to influence compliance readiness and practical risk management at scale.
Compensation / Benefits- Competitive compensation
- Annual bonus eligibility
- Generous retirement plan
- Hybrid work schedule
- Health and wellness benefits (including online therapy)
- Paid time off and volunteering days
Responsibilities- Lead pre-trade, post-trade, and batch monitoring activities in Charles River (CRD)
- Advise on complex compliance interpretations with Trading, Legal, Risk, and Operations stakeholders
- Govern manual monitoring processes and prioritize automation to improve scalability and control
- Identify, escalate, and remediate violations and analyze systemic issues
- Refine and improve the firm's rule library and monitoring framework with cross-functional partners
- Identify and implement solutions to mitigate risk and address process inefficiencies
- Oversee Monitoring contributions to Global Client Investment Reporting (GCIR)
- Lead automation and AI-enabled tool initiatives to boost accuracy and efficiency
- Shape the strategic roadmap for rule optimization using data-driven insights
- Lead cross-functional initiatives to enhance systems, regulatory implementation, and operating models
- Ensure monitoring coverage for regulatory changes and new products
- Set documentation and control design standards for audit readiness
- Develop and coach team members, support talent development and succession planning
- Oversee outsourced monitoring activities and vendor performance
- Align global monitoring practices and governance standards across teams
Key requirements- Bachelor's degree or equivalent experience
- 8+ years of relevant work experience
- Experience with trading, order management, and compliance systems (Charles River or similar)
- Strong understanding of equities, fixed income, and derivatives
- Experience leading teams or functions within Investment Compliance
- Ability to lead complex cross-functional initiatives and process transformation
- Strong analytical, research, and problem-solving skills
- Attention to detail and sound judgement in dynamic trading environments
- Strong interpersonal, written, and verbal communication skills
- 跨部門協作能力
- 優秀的溝通與影響力
- 分析與解決問題的能力
- Charles River (CRD) or similar trading/compliance systems
- Automation and AI-enabled monitoring tools
- Data analysis and trend analysis for risk-based monitoring
