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Tier-1 brand, metro location, and mid-level role increase applicant density, but niche investment compliance moderates competition.
Requires fund-specific SEC and prospectus expertise and fund administration experience, making background fit highly domain-specific.
Explicit 4+ years and mandatory investment compliance plus coding/tool experience enforce strict shortlisting.
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Onboard new investment clients by interpreting prospectus and investment mandates to create and maintain compliance rule matrices.
Perform annual reviews and research ad-hoc queries to ensure client portfolios comply with SEC and fund investment guidelines.
Collaborate with coding and internal teams to maintain accurate compliance rules and reporting, identify operational risks, and ensure timely issue resolution.
Minimum 4+ years overall experience in Fund Administration or related work including mandatory investment compliance monitoring or coding experience.
University degree in Business majoring in Accounting, Finance, or other Financial-related programs.
Strong knowledge of U.S. Investment Companies Act of 1940 or UCITS is required.
Work Experience Required: 4+ years in Fund Administration or related fields with investment compliance monitoring/coding experience.
Experienced in handling SEC and investment guideline compliance for mutual funds or ETF clients in large asset management firms.
Proficient in translating complex client investment rules into actionable compliance matrices and collaborating with technical teams for system implementation.
Familiarity with data workflow tools like Alteryx, SQL, and preferably VBA, with a strong analytical and operational risk identification skillset.