Investment Compliance Specialist

4 weeks ago

London, Greater London, United Kingdom American Century Investments Full time

About American Century Investments

American Century Investments stands as a prominent global asset management firm dedicated to achieving superior investment outcomes while fostering enduring client relationships. Established in 1958, our team of 1,400 professionals serves a diverse clientele, including financial advisors, institutions, corporations, and individual investors, by offering a comprehensive array of investment strategies across various disciplines.

Our commitment lies in delivering institutional-quality, actively managed investment 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 prioritize investment management, enabling us to align our strategies with client expectations and focus on their long-term financial objectives.

Our culture is defined by winning behaviors that reflect our dedication to clients. The results we achieve allow us to contribute over 40% of our dividends—exceeding $1.8 billion—to the Stowers Institute for Medical Research, a non-profit organization committed to advancing biomedical research aimed at understanding and combating life-threatening diseases.

Role Overview: Portfolio Compliance Consultant

The Portfolio Compliance Consultant plays a crucial role in overseeing and supporting the Investment Compliance Program. Key responsibilities include:

  • Monitoring and reviewing portfolios to ensure adherence to investment objectives, limitations, and restrictions as outlined in relevant documentation.
  • Identifying and analyzing potential compliance issues, and recommending appropriate resolutions.
  • Preparing reports for boards and clients, and collaborating with IT to implement new compliance monitoring technologies.
  • Documenting processes and assisting in the integration of new regulatory requirements and product mandates.
  • Engaging in departmental planning and strategy development.

Key Responsibilities:

  • Conduct thorough reviews of portfolios to ensure compliance with investment policies and restrictions.
  • Actively identify compliance exceptions and perform necessary research for resolution.
  • Prepare and update compliance checklists and regulatory filings.
  • Collaborate with various business divisions, including Investment Management, Trading, and Legal.
  • Lead complex compliance matters with minimal supervision.
  • Contribute to the monitoring of intricate securities and derivatives.

Required Qualifications:

  • Bachelor's degree in Business, Economics, Finance, Accounting, or a related field, or equivalent experience.
  • Over 5 years of experience in the investment industry with a focus on compliance monitoring.
  • Extensive knowledge of regulatory frameworks, including UCITS and MiFID II.
  • Proven experience in portfolio compliance oversight.
  • Familiarity with compliance-related systems and data sources.

Additional Information:

American Century Investments is committed to providing equal employment opportunities and adhering to the highest ethical standards. We strive to accommodate individuals with disabilities and ensure a supportive work environment for all employees.

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2019 American Century Proprietary Holdings, Inc. All rights reserved.

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