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The Head of Investment Compliance is responsible for managing TCW’s Investment Compliance team.
This group is responsible for ensuring firm’s compliance with client and fund guideline requirements.
As the head of the group, the incumbent will supervise and directly engage with the team’s day-to-day workflow and ensure all investment compliance related issues are addressed.
In their management role, the incumbent will interact frequently with Portfolio Management, Client Services, Investment Operations, IT, Senior Management and existing and prospective clients, serving as a senior resource to assist with strategic initiatives.
The scope and responsibilities of this role will reflect the evolving business needs and compliance objectives of the firm.
The position reports directly to the Head of Business Risk.
Overall contribution to the design, implementation and effectiveness of the global investment compliance program Oversight of the investment compliance guideline monitoring and trade surveillance program to ensure portfolios are invested in accordance with investment and client guidelines, internal policies and procedures, and applicable laws and regulations Leading and further developing a high performing investment compliance team that is execution focused and disciplined in approach Reviewing and updating existing policies and procedures in response to changes in the business or regulations Lead projects relating to the enhancement of compliance policies and procedures, internal controls and systems Support Compliance programs and work collaboratively with compliance colleagues in the administration of the compliance program Help manage and coordinate compliance response to internal audit findings, SOC 1 audits and regulatory exams Work with affiliated Compliance team and the Chief Compliance Officer to ensure compliance with all applicable regulations and Investment Company compliance procedures.
Coordinate and prepare reporting packages for internal governance committees as well as various corporate boards.
Work with portfolio management and client servicing team on onboarding process of new client accounts and ongoing maintenance and servicing of clients
Required Qualifications
Minimum of 15-20 years’ experience in the investment management industry with a focus on U.S.
fund compliance matters, especially in the Fixed Income realm Bachelor’s degree; an advanced business or law degree is preferred A highly regarded professional in the Compliance community with a reputation for being a player/coach, an effective leader/manager Prior experience with Charles River automated order management/compliance monitoring systems is preferred Significant experience as a senior contributor and have proven your ability to oversee and implement Compliance solutions that are pragmatic, effective and forward looking Strong knowledge of U.S.
securities laws, particularly the Investment Company Act of 1940, Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, other SEC & FINRA regulations, Commodity Futures Trading Commission and National Futures Association, and familiarity with various EU regulations such as ASIC, MiFID II, AIFMD, UCITs and EMIR Deal effectively with investment personnel and understand a variety of complex investment products, especially fixed income and derivatives Strong knowledge of fund requirements and separately managed account documentation
Professional Skills Qualifications
High level of integrity and professionalism Superior judgment in assessing potential compliance matters, the application of industry developments to the business and knowing when to seek independent advise and when to act independently Sorry the Share function is not working properly at this moment.
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