Which OMS do you prefer for investment compliance monitoring and why?
complquery Latest Questions
I have no prior working experience. However, I have an opportunity with a top Investment Management firm in their Investment Compliance Division. Should I join? How lucrative is the Investment compliance division of an Investment Management firm?
What is a Wash Sale and what controls can investment compliance put in place to monitor Wash Sale?
Matt_smithContributor
In your opinion and current financial environment, which one is better growth engine between organic and inorganic growth for an asset manager?
What benefits does investment compliance bring to the stakeholder(s)?
As a compliance officer, what part of your job do you find most challenging?
Being new to the compliance world, the term Investment Compliance is a new term for me. How to differentiate between Investment Compliance and Compliance.
What are the key skillset required for a compliance officer role?
Should any new regulation be extended to closed-ended funds which have terminated their subscription period before the application date of the said regulation?
Doctor_WhoBeginner
What the the biggest challenges you face related to Investment compliance monitoring? It can be system related, process related or people related.