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Medium - strong brand and metro location balanced by seniority and niche investment-compliance specialization.
High - requires specialized mutual-fund and SEC compliance expertise, limiting cross-industry transferability.
High - explicit 9+ years and mandatory investment compliance monitoring/coding experience.
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Own end-to-end onboarding and compliance matrix creation for investment compliance clients, ensuring adherence to SEC requirements and investment guidelines in prospectus/SAI.
Manage daily and periodic investment compliance reporting accuracy by liaising with coding, client service teams, and joint venture partners to meet SLAs and KPIs.
Lead and coach the Investment Compliance team, oversee process improvements, risk identification, resolution of compliance issues, and support new client onboarding projects.
Minimum 9+ years of experience in Fund Administration or related work with mandatory investment compliance monitoring or coding experience (pre or post-trade).
University degree in Business with focus on Accounting, Finance, or Financial-related programs.
Strong knowledge of U.S. Investment Companies Act of 1940 or UCITS mandatory.
Certifications such as FRM, CFA, or CISI preferred but not mandatory.
Experienced compliance professional with deep understanding of investment guidelines interpretation and SEC regulatory frameworks relevant to mutual funds.
Demonstrated leadership in managing compliance teams and cross-functional coordination for operational risk management and reporting accuracy.
Proficient in advanced MS Excel and capable of working with coding teams and compliance systems; exposure to Charles River Development or VBA is a plus.