Job Purpose and Your Responsibilities:

  • Work closely with the fund CCO to develop, administer, and update mutual fund and ETF compliance policies and procedures designed to comply with the Investment Company Act and Investment Advisers Act of 1940.
  • Assist the CCO in the development and administration of the mutual fund and ETF compliance programs; help define and develop risk parameters, implement the program and review the final reports.
  • Assist the CCO in the Rule 38a-1 annual review for mutual funds and ETFs – perform testing and oversight of policies and procedures. Prepare written documentation of results for submission to the fund CCO.
  • Organize, analyze, review, and prepare deliverables for quarterly board reporting for mutual funds and ETFs. Also, review sub-adviser compliance reporting for inclusion in quarterly reporting.
  • Liaise with management and different departments regarding special projects and regulatory initiatives; provide guidance and analysis of rules and/or firm policies, as appropriate.
  • Partner with business, operations, and legal partners to administer mutual fund compliance responsibilities and to advise on regulatory risks and requirements.
  • Coordinate or assist in regulatory examinations and/or audits and prepare information and responses to various requests.
  • Manage ad hoc projects, as needed.

Skills and Qualifications:

  • Minimum of 5 years of investment related experience with ETFs and mutual funds
  • Strong familiarity with the Investment Company Act of 1940
  • Strong analytical and communication skills.

Source: for more information click here.

Share: