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(more about NISA Investment Advisors)
Senior Compliance Officer
Overview
NISA Investment Advisors, LLC (NISA) offers customized investment solutions for tax-exempt and taxable institutional clients. NISA manages over $278 billion in fixed income and equity securities and over $189 billion in derivative notional value. We seek bright, motivated individuals who can contribute to our growing team of professionals. Candidates with a high degree of independent thinking skills, strong analytical and quantitative skills, and team playing abilities are encouraged to apply.
Responsibilities
The Senior Compliance Officer will assist NISA’s Chief Compliance Officer in the administration and management of NISA’s compliance program, including promoting NISA’s culture of compliance throughout the organization. The ideal candidate will have extensive experience in institutional investment management, including in-depth knowledge of the regulatory environment, a deep understanding of fixed income and/or derivatives instruments, experience in writing Form ADV and other regulatory language, and a breadth of knowledge and experience in many of the following areas: Code of Ethics, portfolio guideline compliance, best execution, marketing review, GIPS and performance measurement, electronic communications, compliance testing, compliance training, etc. Additionally, experience with various investment vehicles, including separate accounts, collective investment trusts (CITs), and private funds (3c7 funds) is strongly preferred.
Qualifications
- Bachelor’s degree in Finance, Mathematics, or a related field
- Five or more years of Compliance experience in the institutional investment management industry
- Strong knowledge of the Investment Advisers Act of 1940 and SEC regulatory requirements
- Deep understanding of investment products, strategies, and asset classes
- Technologically proficient, including in Excel
- Excellent analytical and problem-solving skills
- Detail oriented
- Exceptional written and verbal communication skills
- Self-Starter with an ability to work independently and collaboratively in a fast-paced, deadline-driven environment
- High level of integrity and commitment to maintaining confidentiality
- Advanced degree or progression toward appropriate professional certifications is preferred (i.e., CFA, etc.)
NISA Investment Advisors, LLC is an equal Opportunity Employer–minorities/females/veterans/individuals with disabilities/sexual orientation/gender identity.
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