Portfolio and Trading Risk & Compliance Lead

Brown Brothers Harriman

  • New York City, NY
  • $120,000-150,000 per year
  • Permanent
  • Full-time
  • 17 days ago
At BBH, Partnership is more than a form of ownership—it’s our approach to business and relationships. We know that supporting your professional and personal goals is the best way to help our clients and advance our business. We take that responsibility seriously. With a 200-year legacy and a shared passion for what’s next, this is the right place to build a fulfilling career.Join the Trading and Portfolio Risk function within Enterprise Risk Management as a Trading and Portfolio Risk & Compliance Lead, supporting the day-to-day client risk management objectives of our Capital Partners (CP) institutional and private wealth businesses. Be part of a high-performance risk team, working closely with the portfolio managers, traders, relationship managers, and other key stakeholders. This is a high-impact opportunity for a detailed oriented professional who thrives in fast-paced environments and is passionate about trading and portfolio risk. The ideal candidate will play a critical role in maintaining our risk framework, supporting regulatory requirements, responding to client inquiries and delivering high quality risk reporting.Key Responsibilities:
  • Account Guidelines & Order Management System Oversight (OMS)
  • Code and maintain client investment guidelines in Bloomberg OMS and Charles River OMS.
  • Develop a centralized tool to classify client guidelines and report to the business areas within Capital Partners
  • Monitor the trading queue for risk alerts and collaborate with the trading desks to resolve exceptions in real time
  • Generate and analyze client trade guideline management reports as part of monthly and quarterly certifications for clients
  • Collaborate with CP relationship managers for yearly account reviews
  • Portfolio & Trading Risk Monitoring
  • Develop and maintain dashboards to track key risk indicators (e.g., exposures, concentration, liquidity) at both the portfolio and account level.
  • Prepare risk-related materials for committees, board meetings and other senior leadership meetings
  • Assist in streamlining reporting processes using a business intelligence tool (Qlik Sense)
  • Compliance, Audit & Client Support
  • Coordinate with the Compliance team on the Compliance Monitoring Program (CMP) testing and regulatory inquiries
  • Liaise with Internal Audit for audits related to Trading and Portfolio Risk
  • Support Institutional Client Group (ICG) by contributing to RFPs, due diligence questionnaires, and certifications with risk-related content
  • Policy & Documentation
  • Review, update, and maintain Risk-owned policies and procedures in accordance with firm standards and regulatory expectations
  • Own and maintain the internal financial glossary of terms, coordinating with the CP lines of businesses and BBH’s control functions.
Required Qualifications:
  • Bachelor’s degree in finance, economics or a related field
  • 7+ years of relevant experience in investment risk, compliance, operations, or trading support
  • Proficiency in coding investment guidelines in Bloomberg and familiarity with Charles River OMS
  • Working knowledge of the Bloomberg Terminal and key risk/portfolio functions
  • Comprehensive understanding of investment products (fixed income and equity)
  • Familiar with SEC regulatory requirements or compliance frameworks (e.g., 40 Act, UCITS)
  • Strong organizational skills with the ability to multi-task, prioritize, and think creatively under tight deadlines
  • Clear, professional written and verbal communication skills
  • Experience presenting to committees and communicating with senior personnel
  • Work collaboratively within a team or independently
  • Experience with Qlik Sense, Power BI, or other business intelligence/analytics platforms
  • Intermediate level in Microsoft Office Suite, including Excel (e.g., index match, pivot tables, basic macros), PowerPoint and Word
  • Understanding of data and structured query language (SQL)
  • Analyze data and identify risk themes
  • Ability to work in a fast-paced environment
This role is based in our New York City location and is a hybrid role, with a minimum of three days per week in office.Salary Range$120k-$150k base salary + annual bonus targetBBH’s compensation program includes base salary, discretionary bonuses, and profit-sharing. The anticipated base salary range(s) shown above are only for the indicated location(s) and may differ in other locations due to cost of living and labor considerations. Base salaries may vary based on factors such as skill, experience and qualification for the role. BBH's total rewards package recognizes your contributions with more than just a paycheck—providing you with benefits that enhance your experience at BBH from long-term savings, healthcare, and income protection to professional development opportunities and time off, our programs support your overall well-being.We value diverse experiences. We value diverse experiences and transferrable skillsets. If your career hasn’t followed a traditional path, includes alternative experiences, or doesn’t meet every qualification or skill listed in the job description, please do go ahead and apply.About BBH:Brown Brothers Harriman (BBH) is a premier global financial services firm, known for premium service, specialist expertise, technology solutions and partnership approach to client management. Across Investor Services and Capital Partners, we work with an enviable roster of sophisticated clients who make BBH their first call when they are tackling their hardest challenges. Delivering for our clients and each other energizes us.We believe that how we do our work is just as important as what we do. We are relentless problem solvers who know our best ideas come from collective debate and development—so we are never possessive about our ideas. Every day we come together as a diverse community of smart and caring people to deliver exceptional service and expert advice—creating success that lasts. No matter where you sit in the organization, everyone is empowered to contribute their ideas. BBHers can pick up the phone and call any colleague, and they are happy to help. Expanding your impact beyond your daily role is part of how we operate as trusted partners to one another.We believe stability is a competitive advantage, but being stable means having the knowledge, skill, and discipline to evolve, often—pushing the boundaries of innovation. As a private partnership, every investment we make is in the relationships, technologies, products and development we believe are in the long-term interests of our clients and our people. Our long-tenured leaders are experts in their areas and are actively involved in the day-to day business, taking the time to provide guidance and mentoring to build the next generation of BBHers. Because we know, our success begins with yours.Go to BBH.com to learn more about our , , approach to or how we support you to . We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, age, genetic information, creed, marital status, sexual orientation, gender identity, disability status, protected veteran status, or any other protected status under federal, state or local law.

Brown Brothers Harriman