About the role
About The Company Our client is a global investment firm with over $140 billion in AUM. The firm maintains a diversified investment platform across multiple asset classes, incorporating long and alternative strategies in both liquid and private markets.
Responsibilities
- Conduct compliance monitoring including Rule 38a-1 testing and maintain test documentation and deliverables
- Schedule and conduct interviews with internal departments and external vendors as part of 38a-1 requirements
- Draft written reports containing results of compliance monitoring and Rule 38a-1 testing for senior management
- Assist in reviewing and compiling regulatory filings
- Assist is ensuring new fund registrations are made appropriately
- Maintain 15c adviser and sub-adviser library
- Respond to compliance questions, draft, and maintain policies and procedures
- Assist with the review of fund marketing materials
Requirements
- Bachelor’s degree required
- 3-5 years of compliance experience at a financial services firm
- Working knowledge of U.S. mutual fund structures and compliance requirements under the Investment Company Act of 1940
- Ability to review regulatory documentation and provide concise analysis
- Strong research skills
Salary Range $130,000 – $140,000
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