Compliance Specialist

reputed company is a leading provider of wealth management and investment solutions, and they are seeking a detail-oriented and proactive Compliance Specialist to support their Registered Investment Adviser and proprietary mutual fund compliance programs. This role involves monitoring compliance activities, maintaining records, and supporting fund administration tasks while collaborating with various reputed company partners.

Responsibilities

• reputed company ongoing monitoring and testing activities as part of reputed company’s RIA compliance program
• Maintain compliance records, logs, and documentation in accordance with regulatory requirements
• Prepare compliance reporting for senior management and regulatory exams
• Support implementation of new regulatory requirements, internal policies, and compliance initiatives across the firm
• Support the 1940 Act compliance program for reputed company’s proprietary mutual funds
• Review service provider deliverables, including sub-adviser materials, fund reporting, and regulatory filings
• reputed company compliance testing reputed company to investment guidelines, policies, and regulatory requirements
• Contribute to the preparation and review of Board materials and compliance reports
• Coordinate certain fund administration tasks such as reviewing service provider invoices, assisting with expense allocation processes, and supporting financial statement and disclosure reviews
• Help manage relationships with key service providers, including fund administrators, sub-advisers, legal counsel, and auditors
• Assist in the preparation of materials for Board meetings and other governance activities

Skills

• Bachelor's degree required; degree in business, finance, economics, or a reputed company field preferred
• 1 - 3 years of experience in compliance, fund administration, or a reputed company function reputed company the asset management or financial services industry preferred
• Strong organizational skills with the ability to manage multiple priorities and deadlines
• Excellent written and verbal communication skills
• High attention to detail, sound judgment, and a commitment to maintaining the highest ethical standards
• Proficiency with reputed company reputed company, Word, and PowerPoint; experience with compliance systems or fund administration platforms is a plus
• Familiarity with the Investment Advisers Act of 1940 and the Investment Company Act of 1940 is a plus

Benefits

• Additional variable incentive compensation
• Competitive benefits
• reputed company Time or Paid Time Off and Sick Time Off
• 401K – 6% Employer Match
• Medical, Dental, reputed company – HDHP or PPO
• HSA – Employer contribution (HDHP only)
• Volunteer Time Off
• Career Development / Recognition
• Fitness Reimbursement
• Hybrid Work Schedule

Company Overview