Senior Manager Investment Compliance Resume Example

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Jessica Claire
  • Montgomery Street, San Francisco, CA 94105
  • Home: (555) 432-1000
  • Cell:

Experienced and detail-oriented Senior Compliance Manager in the asset management industry who has achieved success in a variety of roles with increasing levels of responsibility. An effective communicator and team-builder with extensive knowledge of the UCITS regulatory framework in addition to strong analytical, management and organizational skills.

Core Strengths
  • Team Leadership
  • Regulatory Compliance
  • Excellent communication skills
  • Process Improvements
  • Staff development/coaching
  • Flexible
  • Problem resolution
  • Team-oriented
Professional Experience
Senior Manager, Investment Compliance, 06/2014 to Current
Charles Schwab CorporationTulsa, OK,
  • Proactive in identifying issues and ensure adequate procedures and controls are established and followed in order to minimize risk and provide guidance on relevant compliance issues.
  • Maximize productivity through coaching new and existing staff where appropriate.
  • Communicate daily with senior management and investment professionals; representing the opinions of the department and company in management and project meetings.
  • Assist the Head of Compliance with ensuring that the team meets its goals and objectives.
  • Oversee the process of providing required data for regulatory reviews, external and internal audits as appropriate.
  • Remain current with regulatory matters related to the industry in general and investment compliance specifically.
  • Performance of day to day managerial duties listed below.
Manager, Investment Compliance, 06/2010 to 05/2014
, ,
  • Managed a group of 4-5 compliance specialists and senior specialists who perform day to day compliance monitoring responsibilities.
  • Led training and development initiatives for new and existing staff members.
  • Performed manager review of staff members work such as end of day compliance reviews in automated compliance system and set up of and changes to new and existing accounts.
  • Assigned and oversaw new account set up, ad-hoc tasks, and projects to staff members and conducted regular meetings to discuss their workload and career development.
  • Administered staff appraisals twice a year for direct reports.
  • Member of working group established for transition to new automated compliance system Charles River Investment Management Solution (CRIMS).
  • Key contributor in meetings with internal stakeholders as it pertained to new and ongoing compliance issues such as new instrument processes, regulatory changes and impacts, and new fund launch initiatives.
  • Traveled several times for training, meetings, and to provide coverage for the local investment compliance team in London.
  • Interviewing and hiring of new staff.
Senior Specialist, Investment Compliance , 06/2008 to 05/2010
, ,
  • Assisted in the training and development of new hires.
  • Performed daily compliance monitoring for a more complex group of existing and new mandates.
  • Enhanced the efficiency of the compliance testing process via ad-hoc projects.
  • Audited existing accounts to ensure that proper compliance procedures and testing is applied to the appropriate investment guidelines.
  • Continued to perform specialist responsibilities listed below.
Specialist, Investment Compliance, 05/2003 to 05/2008
, ,
  • Reviewed, analyzed, and resolved breaches of fund investment guidelines.
  • Conducted daily end of day and time of trade monitoring of institutional accounts and retail UCITS III funds and logged any breaches identified.
  • Calculated funds profit or loss due to an active breach of investment guidelines in accordance with manager breach policy.
  • Provided analysis and commented on investment guidelines for institutional client accounts and new investment strategies for retail funds.
  • Prepared and distributed monthly, quarterly, semiannual and yearly compliance reports for clients, auditors, and regulators.
  • Developed rules structure for automated and manual compliance testing.
  • Communicate daily with portfolio managers, traders, investment directors, client service managers, and local compliance contacts located in our international offices as it pertains to any investment compliance matters.
  • Seconded to London for three months in 2005 for additional training and to provide cover for our compliance colleagues in the London
  • Participated in the UAT and transfer to new in house automated compliance system (COMET) in 2006.
Bachelor of Science: Finance, Expected in 2003
Oakwood College - Huntsville, AL
  • Graduated Magna Cum Laude
  • 3.55 GPA
  • Member of Alpha Chi (National Honor Society, Oakwood College Chapter)
  • Presidential Award Scholarship recipient from Oakwood College ($24,000 USD)

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Resume Overview

School Attended
  • Oakwood College
Job Titles Held:
  • Senior Manager, Investment Compliance
  • Manager, Investment Compliance
  • Senior Specialist, Investment Compliance
  • Specialist, Investment Compliance
  • Bachelor of Science

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