Back
Tier-1 brand, metro location, mid-level role but niche compliance skills moderate applicant competition.
Strong regulatory and fund-specific knowledge (SEC, Prospectus, UCITS) limits cross-industry transferability.
Mandatory 4+ years investment compliance experience and specific tool knowledge (Alteryx, SQL) increases filter strictness.
Login to See Your Match Score
Create a free account or log in to unlock your CV match score across:
Own onboarding of new mutual fund clients for investment compliance by interpreting prospectuses and investment mandates to create compliance rule matrices.
Manage annual reviews and maintenance of compliance rules to ensure accurate adherence to SEC requirements and investment guidelines.
Collaborate with internal coding and compliance teams to resolve queries and ensure accurate daily and monthly compliance reporting to clients.
Mandatory experience in investment compliance monitoring or coding (pre or post-trade).
Minimum 4+ years overall experience in Fund Administration or related work.
University degree in Business majoring in Accounting, Finance, or related financial field.
Strong knowledge of U.S. Investment Companies Act of 1940 or UCITS and familiarity with Alteryx workflow and SQL.
Experienced in translating complex regulatory and investment guidelines into actionable compliance rules for internal teams.
Comfortable working with cross-functional teams including Client Service, coding, and compliance reporting groups in a large asset management environment.
Prior exposure to fund administration in a regulated financial services environment with attention to operational risk and process improvement.