Portfolio & Trading Compliance Officer, Mercer Investments

Overview

We are seeking a talented individual to join our Compliance team s role will be based in New York. This is a hybrid role that requires working at least three days a week in the office. Mercer’s Investment business is a global multi-manager organization that develops and manages investment products and solutions for clients across asset classes and risk profiles. The role focuses on developing and administering our portfolio and trading compliance program for our clients and proprietary funds, with an initial emphasis on our North American business.

The successful candidate will support the design and implementation of controls and processes to ensure compliance with all applicable regulatory and portfolio guidelines. This role involves collaboration with Investment Management, Client Service and Operations, and reports directly to the Chief Compliance Officer, Canada Investments who oversees the US&C Investments Portfolio Compliance team.

• Support the process of designing and implementing guideline monitoring systems and practices to ensure proper pre-trade and post-trade controls

• Work with system providers and vendors on rule creation, rule testing and rule maintenance

• Monitor portfolio guideline compliance; research potential issues and collaborate with other teams to come to resolution

• Perform reporting and analysis to detect guideline breaches and monitor all outstanding issues through resolution

• Participate in ad hoc and/or strategic projects, such as process developments and improvements, scenario analysis, and technology testing

• Contribute to trading best practices, including governance of best execution

• Minimum 4-6 years of relevant experience in the investment management industry and strong knowledge of investment instruments

• Familiarity with investment-related regulations and portfolio monitoring tools

• Undergraduate degree in Finance, Economics, or similar fields preferred

• Strong analytical and critical thinking skills, and excellent attention to detail

• Effective verbal and written communication skills, ability to work in a team environment, and capable of managing projects effectively

• Ability to exercise sound independent judgement to resolve problems or identify issues requiring escalation, take charge and drive to conclusions

• CFA designation or active status in the CFA program

• Experience on sell-side trade desks or working closely with buy-side investment portfolio managers

• Working knowledge on investment-related monitoring applications, or experience covering investment businesses that utilize quantitative modeling, asset allocation, or overlay strategies

• We help you be your best through professional development opportunities, interesting work and supportive leaders.

• We foster a vibrant and inclusive culture where you can work with talented colleagues to create new solutions and have impact for colleagues, clients and communities.

• Our scale enables us to provide a range of career opportunities, as well as benefits and rewards to enhance your well-being.