Asset Management - Guidelines Associate

Help protect client interests by enabling informed participation in new investment opportunities. In this role, you will translate complex regulatory and fiduciary requirements into clear, practical guidance for investment teams. You will collaborate across partners to identify conflicts of interest and support strong controls. If you enjoy analytical work, thoughtful judgment calls, and purpose-driven risk management, this role offers meaningful impact.
Job summary
As a Guidelines Associate in the Operations Guidelines Team, you will provide regulatory, fiduciary, and conflict-of-interest guidance to support participation in new issues and related corporate actions. You will review documentation, assess eligibility requirements, and help ensure investment activity aligns to applicable guidelines and obligations. You will partner with key stakeholders to escalate exceptions appropriately and strengthen monitoring and process efficiency.
Job responsibilities
Review offering documentation to identify potential conflicts of interest and assess eligibility for relevant client types and fund structures
Provide guidance on participation in new offerings of fixed income and equity securities, and on related transactions such as bank loan activity and corporate actions (e.g., tender offers and consent solicitations)
Assess affiliate involvement and conflict considerations to support compliant participation decisions
Evaluate applicable regulatory and fiduciary requirements that impact investment eligibility and participation parameters
Monitor daily new-issue activity to confirm purchases align with the guidance issued and escalate discrepancies as needed
Perform secondary-market eligibility reviews for accounts subject to the Employee Retirement Income Security Act (ERISA), where required by rules or pre-trade alerts
Review and monitor pre-trade override requests to confirm proposed investments align with applicable investment guidelines, regulatory requirements, and fiduciary obligations
Coordinate with corporate action partners to support affiliated corporate actions by providing aggregated participation information when required for fee treatment
Escalate identified exceptions or potential breaches with clear documentation and recommended next steps
Drive initiatives that improve efficiency, strengthen controls, mitigate risk, or meet regulatory mandates
Required qualifications, capabilities and skills
Bachelor’s degree (or equivalent)
3 years of experience in financial markets, investment management, investment compliance, portfolio management support, operations, or risk management
Working knowledge of financial markets, investment products, and trading activities
Ability to analyze complex regulatory, fiduciary, and conflict-related scenarios and summarize conclusions clearly
Strong attention to detail and sound judgment, including comfort working with deadlines and competing priorities
Ability to communicate effectively with senior stakeholders and build productive working relationships
Proficiency in Microsoft Office (Excel, PowerPoint, Word)
Preferred qualifications, capabilities and skills
Experience providing compliance or participation guidance for new issues (including initial public offerings (IPOs) and fixed income offerings)
Knowledge of relevant regulatory frameworks (e.g., Investment Advisers Act of 1940, Investment Company Act of 1940, Department of Labor prohibited transaction exemptions, and Securities Exchange Act of 1934)
Experience supporting ERISA eligibility reviews and fiduciary account considerations
Experience with pre-trade monitoring, exception management, and escalation practices in an investment environment
Data analytics and automation experience (e.g., building controls, workflow improvements, or reporting)
Demonstrated process improvement experience, with a strong oversight and control mindset
Developing experience using AI-powered analytics, workflow automation, or intelligent process tools to drive efficiency gains, reduce manual effort, or improve accuracy in operational processes