Head of Investment Compliance
Description
Thornburg is a global investment firm delivering on strategy for institutions, financial professionals and investors worldwide. The privately held firm, founded in 1982, is an active, high-conviction manager of fixed income, equities, and multi-asset solutions.
As an independent firm, Thornburg can take on a wide range of opportunities, explore ideas thoroughly and work across strategies to deliver consistent risk-adjusted outperformance over the long term. The firm attracts free-thinking professionals who are eager to pursue investment outcomes beyond the confines of popular wisdom. From nimble operational capabilities to principles and actions fitting of a global citizen, Thornburg’s world-class investment platform and team are aligned on strategy to serve investors.
Job Summary
Thornburg is seeking an experienced investment compliance professional to lead our investment compliance function. As Head of Investment Compliance, you will be responsible for establishing and maintaining a comprehensive compliance framework that ensures our investment activities adhere to all applicable regulations, internal policies and fiduciary obligations. In addition, you will be responsible for assisting with material non-public information, research/commissions oversight, trade errors, and other investment compliance issues. This is a critical leadership role that requires both strategic thinking and hands-on execution in a complex and fast-paced investment environment
DUTIES AND RESPONSIBILITIES:
• Regulatory Oversight & Program Management: You will design, implement and oversee the firm’s investment compliance program, ensuring adherence to SEC, FINRA, Irish Central Bank regulations, and other regulatory requirements.
• Investment Monitoring & Surveillance: You will establish and maintain surveillance systems to monitor portfolio management activities, trading practices and investment restrictions. This also includes ensuring compliance with client investment guidelines, prospectus requirements and regulatory restrictions across all investment strategies.
• Advisory & Training: You will serve as a trusted advisor to portfolio managers, traders and senior leadership on compliance matters. This may include providing guidance on new investment products, trading strategies and business initiatives.
• Committee Representation & Client Facing: You will be asked to participate in various committees across the firm such as best execution, liquidity, pricing and valuation, derivatives and enterprise risk. Additionally, you will be asked to meet with clients in due diligence meetings to explain your role as Head of Investment Compliance.
• Risk Management & Reporting: You will identify, assess, and mitigate compliance risks across the investment platform. This may include conducting risk assessments, testing key controls, investigating potential violations and reporting findings to senior management.
• Regulatory Change Management: You will monitor regulatory developments affecting the asset management industry and assess their impact on firm operations. This would include implementing necessary policy changes, system enhancements and process modifications to maintain compliance with evolving requirements.
Apply tot his job
Apply To this Job
Thornburg is a global investment firm delivering on strategy for institutions, financial professionals and investors worldwide. The privately held firm, founded in 1982, is an active, high-conviction manager of fixed income, equities, and multi-asset solutions.
As an independent firm, Thornburg can take on a wide range of opportunities, explore ideas thoroughly and work across strategies to deliver consistent risk-adjusted outperformance over the long term. The firm attracts free-thinking professionals who are eager to pursue investment outcomes beyond the confines of popular wisdom. From nimble operational capabilities to principles and actions fitting of a global citizen, Thornburg’s world-class investment platform and team are aligned on strategy to serve investors.
Job Summary
Thornburg is seeking an experienced investment compliance professional to lead our investment compliance function. As Head of Investment Compliance, you will be responsible for establishing and maintaining a comprehensive compliance framework that ensures our investment activities adhere to all applicable regulations, internal policies and fiduciary obligations. In addition, you will be responsible for assisting with material non-public information, research/commissions oversight, trade errors, and other investment compliance issues. This is a critical leadership role that requires both strategic thinking and hands-on execution in a complex and fast-paced investment environment
DUTIES AND RESPONSIBILITIES:
• Regulatory Oversight & Program Management: You will design, implement and oversee the firm’s investment compliance program, ensuring adherence to SEC, FINRA, Irish Central Bank regulations, and other regulatory requirements.
• Investment Monitoring & Surveillance: You will establish and maintain surveillance systems to monitor portfolio management activities, trading practices and investment restrictions. This also includes ensuring compliance with client investment guidelines, prospectus requirements and regulatory restrictions across all investment strategies.
• Advisory & Training: You will serve as a trusted advisor to portfolio managers, traders and senior leadership on compliance matters. This may include providing guidance on new investment products, trading strategies and business initiatives.
• Committee Representation & Client Facing: You will be asked to participate in various committees across the firm such as best execution, liquidity, pricing and valuation, derivatives and enterprise risk. Additionally, you will be asked to meet with clients in due diligence meetings to explain your role as Head of Investment Compliance.
• Risk Management & Reporting: You will identify, assess, and mitigate compliance risks across the investment platform. This may include conducting risk assessments, testing key controls, investigating potential violations and reporting findings to senior management.
• Regulatory Change Management: You will monitor regulatory developments affecting the asset management industry and assess their impact on firm operations. This would include implementing necessary policy changes, system enhancements and process modifications to maintain compliance with evolving requirements.
Apply tot his job
Apply To this Job