Investment Compliance- Senior Associate
Core
Senior Associate providing end-to-end investment compliance support to Mutual Fund clients by ensuring adherence to SEC requirements and fund prospectuses.
Role type
Senior IC investment compliance professional
Builds
Compliance rule matrices and daily/monthly compliance reporting for ETFs and investment solutions
Domain
Asset management / Securities regulation
Required skills
Investment compliance monitoring, Investment compliance coding, U.S. Investment Companies Act of 1940 knowledge, UCITS knowledge, Alteryx workflow design, SQL
Preferred skills
FRM, CFA, CISI, Charles River Development (CRD) exposure, Visual Basic Applications (VBA) coding
Technologies
Alteryx, SQL, VBA
Responsibilities
Onboard new clients by interpreting prospectuses to create compliance rule matrices; Liaise with clients to obtain information for coding compliance matrices; Perform annual reviews of compliance rules against updated prospectuses; Research ad-hoc queries on portfolio alignment with investment guidelines; Liaise with coding teams for system rule maintenance; Translate client requirements into actionable items for internal teams; Identify and analyze operations risks; Ensure timely resolution of issues; Perform daily processes accurately; Identify and report suspicious transaction activity; Participate in department projects and committees.