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About Us
American Century Investments stands as a prominent global asset management firm dedicated to achieving superior investment outcomes and fostering enduring client relationships while advancing research aimed at enhancing human health and saving lives. Established in 1958, our team of 1,400 professionals caters to financial advisors, institutions, corporations, and individual investors, offering a diverse array of investment strategies across multiple disciplines.
We pride ourselves on delivering institutional-quality, actively managed solutions with a focus on performance. Our expertise encompasses global growth equity, global value equity, disciplined equity, multi-asset strategies, global fixed income, alternatives, and ETFs.
As a privately held and independent entity, we are solely focused on investment management, allowing us to align our decisions with client expectations and prioritize their long-term financial needs.
Our culture is defined by winning behaviors that reflect our commitment to clients every day. Our investment success enables us to contribute over 40% of our dividends—exceeding $1.8 billion—to the Stowers Institute for Medical Research, a non-profit organization dedicated to fundamental biomedical research. These dividend payments provide essential financial support for the Institute's mission to uncover the causes, treatments, and prevention of life-threatening diseases, including cancer.
Role Overview:
The Portfolio Compliance Consultant plays a crucial role in overseeing and supporting the Investment Compliance Program. Key responsibilities include identifying, researching, analyzing, and recommending solutions to potential compliance issues related to portfolios; preparing reports for boards and clients; collaborating with IT to implement new compliance monitoring technologies; documenting processes; assisting in the implementation of new regulatory requirements and product specifications; and contributing to departmental planning.
Key Responsibilities:
- Monitor and evaluate portfolios to ensure adherence to investment objectives, limitations, and restrictions as outlined in prospectuses, investment management agreements, and internal policies.
- Identify potential compliance exceptions and conduct thorough research to resolve issues, which may involve reviewing compliance requirements, data quality, and monitoring processes.
- Review and analyze assigned prospectuses, regulatory filings, and management agreements to ascertain investment policies and restrictions.
- Prepare and maintain compliance checklists and generate regular and special reports for fund boards, institutional clients, and internal stakeholders.
- Collaborate with various 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 in response to regulatory changes or new products.
- Lead complex compliance matters with minimal supervision and contribute to the analysis and monitoring of intricate securities and derivatives.
Required Qualifications:
- Bachelor's degree in Business, Economics, Finance, Accounting, or a related field, or equivalent experience.
- Minimum of 5 years of experience in the investment industry with a focus on compliance monitoring, particularly regarding European Securities and Markets Authority regulations, UCITS Directive, MiFID II, and the Investment Company Act.
- Extensive experience in Portfolio Compliance oversight.
- Proficient understanding of various investment securities and derivatives.
- Familiarity with non-US regulatory frameworks, including SFDR and UCITS.
- Experience with Exchange Traded Funds (ETFs) and listing standards on both US and international exchanges.
- Proven ability to develop and implement investment compliance policies and procedures.
- Strong understanding of the investment management landscape and portfolio securities, including equity, fixed income, and derivatives.
- Experience in compliance, accounting, auditing, or investment operations.
- Familiarity with compliance-related systems and data sources.
Additional Information:
Employees are expected to adhere to a scheduled office presence, which is essential for fulfilling the role's expectations.
American Century Investments is committed to complying with the Americans with Disabilities Act and all relevant Equal Employment Opportunity laws. We strive to provide reasonable accommodations to qualified individuals under the ADA to perform essential job functions.
American Century Investments is dedicated to ensuring equal employment opportunities for all individuals, free from discrimination based on race, color, sex, national origin, disability, age, or any other protected status.
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