Investment Control/Trade Compliance; Charles River - Hedge Fund

  • Negotiable
  • Stamford, CT, USA
  • Permanent, Full time
  • Michael Page International - US
  • 20 Feb 18 2018-02-20

Market Leading International Asset Manager/Hedge Fund. $57B+ AUM is seeking a driven individual to join a rapidly expanding, business facing Investment Control & Compliance group. PURPOSE: -Facilitate the firm's investment process and control environment and provide support for the first line of defense through investment related systems and controls (70%) -Support and manage Trade execution entry (30%)

Market Leading International Asset Manager/Hedge Fund. $57B+ AUM



Monitoring of the firm's investment business activities, using a risk based approach, ensure that the business is being undertaken in accordance with relevant investment management agreements (IMA), regulations and internal policies and procedures.

  • Support the Head of Investment Control with the design and implementation of the firm's investment control strategy and framework
  • Provision of practical guidance of global regulatory investment restrictions including Luxembourg UCITS, Luxembourg SIF, US 1940 Act and Canadian NI 81-102
  • Inputting trades into Charles River and Bloomberg ensuring all orders are booked accurately prior to execution based on documented instructions potentially across all the investment teams
  • Liaise with Investment teams over Investment Process and control related issues
  • Liaise with the relevant teams with regard to new fund launches with specific focus on negotiation of clear investment guidelines and subsequent relevant monitoring capabilities
  • Implementing the Investment Guideline coding in Charles River Investment Management System and on-going management of the firm's CRIMS rule library
  • Advising on the resolution of investment guideline breaches and trading issues. The role will be responsible for ensuring that breaches are addressed promptly and followed up on to ensure that controls are reviewed and, where relevant, enhanced to mitigate the risk of recurrence
  • Implement consistent 'best-practice' investment control framework across all investment teams
  • Assisting with daily management and resolution of pre and post trade alerts within Charles River Investment Management System
  • Daily manual monitoring of investment guidelines that are not programmed within Charles River
  • Responsible for the management of the firm's CRIMS rule library and implementation of new fund launches
  • Support ongoing business development of CRIMS and advise on practical application of system enhancements and upgrades
  • Oversight of all communications from administrators and segregated clients in relation to potential breaches of investment guidelines
  • Following up to ensure that issues identified by monitoring reviews are addressed and any necessary controls are implemented to reduce the risk of recurrence


  • Firm's Compliance Manual with specific focus on the PA Dealing, Gifts and Entertaining and Conflicts of Interest Policy
  • Firm's Employee Handbook



  • Considers own role within the commercial context and focusses on the client. Respects obligations to internal and external clients and investors and treat clients fairly
  • Displays a positive attitude, gets involved and proactively seeks out opportunities to advance the business
  • Seeks out insightful, smart ideas to raise personal and team standards. Demonstrates the ability to think creatively to find solutions. Responds quickly and positively to change and maintains effectiveness when experiencing change. Invests time in learning new skills and gaining new experiences

Job Offer

Comprehensive Compensation Package:

-Competitive Base Salary

-Discretionary Annual Bonus

-Comprehensive Benefits Package