Portfolio Compliance Officer

Our Firm

American Century Investments® is a leading global asset manager focused on delivering investment results and building long-term client relationships while supporting research that can improve human health and save lives. Founded in 1958, the firm’s 1,400 employees serve financial professionals, institutions, corporations, and individual investors, offering a wide range of investment strategies across a variety of investment disciplines.

We are committed to providing institutional-quality, actively managed solutions with a performance-centered mindset. Our expertise spans global growth equity, global value equity, disciplined equity, multi-asset strategies, global fixed income, alternatives, and ETFs.

Privately controlled and independent, we focus solely on investment management. This empowers us to align our decisions with client expectations and concentrate on their long-term money management needs.

Our culture of winning behaviors exemplifies our dedication to clients every single day. Delivering investment results enables us to distribute over 40% of our dividends—more than $1.8 billion — to the Stowers Institute for Medical Research, a 500-person, non-profit basic biomedical research organization with a controlling interest in American Century Investments. Our dividend payments provide ongoing financial support for the Institute’s work of uncovering the causes, treatments, and prevention of life-threatening diseases, like cancer.

For more information, please visit americancentury.com.

The Portfolio Compliance Consultant is responsible for a broad range of regulatory and compliance work that involves the oversight and support of the Investment Compliance Program. Responsibilities include identifying, researching, analyzing, and recommending resolutions to potential portfolio compliance issues; preparing board and client reports; working with IT to implement new technologies for monitoring compliance; documenting processes, assisting in the implementation of new regulatory requirements and new product requirements for monitoring compliance, and assisting in department planning.

Major Responsibilities:

Monitor and review portfolios for compliance with investment objectives, limitations and restrictions as identified in the prospectus and supplements, investment management agreements, board and internal policies, regulatory and other applicable restrictions. Account types monitored may include retail (Undertakings for Collective Investment in Transferable Securities (UCITS) Exchange Traded Funds and Funds or institutional (subadvised, separate, commingled, ERISA, etc.) equity, fixed income, and liquid alternative portfolios. Actively identify potential compliance exceptions and conduct research. Resolution requires review and analysis of compliance requirements, data quality, systems, monitoring processes, and includes communication with internal or external customers and partners. Review assigned prospectuses, supplements, regulatory filings and management agreements to identify investment policies and restrictions. Prepare and update compliance checklists. Prepare and present regular and special reports for fund boards, institutional clients, and internal users. Prepare regulatory filings. Partner with business divisions including Investment Management, Trading, Investment Operations, IT and Legal. Work with the portfolio compliance team and IT to develop new processes or update current monitoring and reporting processes as needed due to changes in rules and regulations or new products, portfolios, or strategies. Lead highly sophisticated compliance matters with minimal direct supervision. Contribute to the analysis and portfolio compliance monitoring of complex securities and derivatives.

Distinguishing Characteristics:

Able to develop good working relationships with internal and external customers and partners.

Able to recognize and handle critical issues with tact and discretion.

Able to work independently, and as a team member.

Able to learn specialized applications used in the portfolio compliance program (LatentZero Compliance, Bloomberg, proprietary Order Management System, etc.)

Ability to utilize technology resources (Data Quant, Tableau, etc.) to develop compliance efficiencies and streamline existing processes.

Able to prioritize tasks and meet deadlines.

Able to think conceptually and translate plans into measurable steps for others.

Able to perform work accurately; attention to detail is crucial.

Strong communication and organizational skills.

Required Experience

Bachelor's degree in Business, Economics, Finance, Accounting or other related field, or an equivalent combination of education and experience.

5+ years of investment industry and compliance monitoring experience with focus on the European Securities and Markets Authority regulation, UCITS Directive, MiFID II regulation, and the Investment Company Act. Advanced knowledge of the regulatory environment of funds, exchange traded funds and advisory accounts.

5+ years of Portfolio Compliance investment oversight experience.

Extensive experience with all investment securities and Derivatives is required.

Experience with non-US regulatory regimes, including SFDR and UCITS.

Experience with Exchange Traded Funds (ETFs) and listing standards on US and non-US exchanges.

Proven track record to prepare and administer investment compliance policies and procedures.

Understanding of the investment management industry and portfolio securities, such as equity, fixed income, currency, and exchange traded and OTC derivatives;

Familiarity with the firm and its products.

Experience in areas such as compliance, accounting, auditing, investment operations, a regulatory environment, etc.

Experience with compliance-related systems and data sources.

Exhibits the American Century Investments Winning Behaviors: Client Focused, Courageous and Accountable, Collaborative, Curious and Adaptable, Competitively Driven, Adheres to the highest ethical standards and business practices, and Supports a culture of compliance.

Additional Requirements:

Employees are required to be in the office on a scheduled frequency. Adherence to this schedule is essential to fulfilling the expectations of the role.

American Century Investments is committed to complying with the Americans with Disabilities Act and all other applicable Equal Employment Opportunity laws and regulations. As such, American Century strives to provide a reasonable accommodation to any qualified individual under the ADA to perform essential job functions.

American Century Investments believes all individuals are entitled to equal employment opportunity and advancement opportunities without regard to race, religious creed, color, sex, national origin, ancestry, physical disability, mental disability, medical condition, genetic information, marital status, gender, gender identity, gender expression, age for individuals forty years of age and older, military and veteran status, sexual orientation, and any other basis protected by applicable federal, state and local laws. ACI does not discriminate or adopt any policy that discriminates against an individual or any group of individuals on any of these bases.

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