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Tier-1 employer, metro location, and mid-level experience (4+ years) increase candidate competition.
Specialized mutual-fund, SEC, and compliance-coding skills limit transferability across industries.
Explicit 4+ years, mandatory investment-compliance/coding experience and regulated SEC requirements make shortlisting stringent.
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Own the onboarding of new investment compliance clients by interpreting prospectuses and mandates to create and maintain compliance rule matrices.
Coordinate with clients and internal teams to ensure accurate coding and daily/monthly reporting of compliance rules and resolve issues timely.
Monitor compliance with SEC regulations and investment guidelines, research ad-hoc queries, and identify operational risks and unusual transactions according to policies.
Minimum 4+ years of experience in Fund Administration or related investment compliance monitoring or coding (pre or post-trade) role.
University degree in Business with major in Accounting, Finance, or related financial programs.
Strong knowledge of U.S. Investment Companies Act of 1940 or UCITS and ability to analyze investment guidelines for compliance testing.
Work Experience Required: 4+ years; Certifications (FRM, CFA, CISI) preferred but not mandatory; Secondary skills like Charles River Development (CRD) exposure or VBA coding are good to have but not essential.
Experienced in end-to-end investment compliance processes within Mutual Fund or asset management environments focusing on SEC and investment guideline adherence.
Skilled at translating complex client requirements into actionable compliance rules and collaborating with coding and reporting teams.
Analytical operator with practical knowledge of Alteryx workflows and SQL for compliance monitoring and reporting enhancement.