Guidelines Associate - 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