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Tier-1 brand, metro location, and mid-level generalist experience requirement drive high competition.
Role requires specialized investment compliance and fund-administration knowledge, limiting cross-industry transferability.
Explicit 4+ years and mandatory investment compliance/coding experience plus Alteryx/SQL skills make filtering strict.
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Own end-to-end onboarding and annual review of investment compliance rules matrix based on client requirements and SEC/Prospectus guidelines.
Liaise with clients and internal coding teams to maintain accurate compliance rules and ensure correct compliance reporting.
Identify operational risks and ensure timely resolution of compliance issues while adhering to and improving Standard Operating Procedures.
Minimum 4+ years experience in Fund Administration or related investment compliance monitoring (pre or post-trade).
University degree in Business, Accounting, Finance or related financial field.
Strong knowledge of U.S. Investment Companies Act of 1940 or UCITS.
Proficiency in Alteryx workflow and SQL; experience with investment compliance coding is mandatory.
Experienced compliance professional skilled at interpreting complex SEC and investment mandate documentation for operational implementation.
Demonstrates operational ownership with experience collaborating across client services, coding, and compliance teams to manage risk and process accuracy.
Strong analytical skills with ability to drive procedure improvements and address regulatory compliance within asset management environments.