Portfolio Compliance Consultant

About Us

American Century Investments® is a leading global asset manager with over 65 years of experience helping a broad base of clients achieve their financial goals. Our expertise spans global equities and fixed income, multi-asset strategies, ETFs, and private investments.

Privately controlled and independent, we focus solely on investment management. But there’s an unexpected side to us, too. We direct over 40% of our profits every year—more than $2 billion since 2000—to the Stowers Institute for Medical Research. Our ongoing financial support drives the Institute’s breakthrough work and mission of defeating life-threatening diseases like cancer and Alzheimer’s. So, the better we do for our clients, the more we can do for everyone.

All 1,400 of us across the globe are inspired every day by the unique difference our hard work can make in so many lives. It shows in the curiosity we bring to every initiative, the deep relationships we build with our clients, and the way we treat each other in the hallway. If you’re excited to learn more about us, we can’t wait to learn more about you.

Role Summary

The 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.

This onsite position will be based out of our Kansas City, MO or New York City, NY office. 

This position is not eligible for visa sponsorship. Applicants must be authorized to work in the U.S. without visa sponsorship, now or in the future. 

How You Will Make an Impact

• Monitor and review portfolios for compliance with investment objectives, limitations, and restrictions as identified in various documents and policies.

• Identify and research potential compliance exceptions, requiring review and analysis of compliance requirements, data quality, systems, and monitoring processes.

• Review assigned prospectuses, supplements, regulatory filings, and management agreements to identify investment policies and restrictions.

• Prepare and update compliance checklists, and present regular and special reports for fund boards, institutional clients, and internal users.

• Prepare regulatory filings and partner with business divisions including Investment Management, Trading, Investment Operations, IT, and Legal.

• Work with the portfolio compliance team and IT to develop or update monitoring and reporting processes due to changes in rules, regulations, or new products.

• Lead highly sophisticated compliance matters with minimal direct supervision.

• Contribute to the analysis and portfolio compliance monitoring of complex securities and derivatives.

What You Bring to the Team (Required)

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

• 5+ years of investment industry and compliance monitoring experience, with a focus on the Investment Company Act of 1940.

• Advanced knowledge of the regulatory environment of mutual funds, exchange-traded funds, and advisory accounts.

• Understanding of and experience with all investment securities, such as equity, fixed income, currency, and exchange-traded and OTC derivatives.

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

• Proven track record in preparing and administering investment compliance policies and procedures, and familiarity with the firm and its products.

• Experience in areas such as compliance, accounting, auditing, investment operations, and a regulatory environment, as well as with compliance-related systems and data sources.

• Strong ability to develop good working relationships with internal and external customers and partners, and to recognize and handle critical issues with tact and discretion.

• Ability to work independently and as a team member, prioritize tasks, meet deadlines, and think conceptually to translate plans into measurable steps for others.

• Proficiency in utilizing technology resources (e.g., Data Quant, Tableau) to develop compliance efficiencies, streamline existing processes, and learn specialized applications used in the portfolio compliance program (e.g., LatentZero Compliance, Bloomberg, proprietary Order Management System).

• Demonstrates the American Century Investments Winning Behaviors: Client Focused, Courageous and Accountable, Collaborative, Curious and Adaptable, Competitively Driven.

Additional Assets (Preferred)

• Experience with European Securities and Markets Authority regulation, UCITS Directive, and MiFID II regulation is a plus.

• Experience with non-US regulatory regimes, including SFDR and UCITS is a plus.

The above statements are not intended to be a complete list of all responsibilities, duties, and skills required. 

What We Offer

For New York based candidates, the salary range for this role is $105,000-$125,000. Actual offers are based on various factors including but not limited to a candidate’s location, skills, experience, and relevant education and/or training. This position is eligible for cash incentive providing the potential to earn more.

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.

We encourage people of all backgrounds to join us on our mission. If you require reasonable accommodation for any aspect of the recruitment process, please send a request to [email protected]. All requests for accommodation will be addressed as confidentially as practicable. 

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.

American Century Proprietary Holdings, Inc. All rights reserved.