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Tier-1 brand and metro location balanced by niche senior investment-compliance role, yielding medium competition.
Requires SEC, prospectus and fund administration expertise, so high domain specificity and poor cross-industry transferability.
Explicit 9+ years and mandatory investment-compliance experience make shortlisting highly strict.
Own onboarding of new investment compliance clients by interpreting prospectuses and creating compliance rule matrices.
Manage ongoing compliance matrix reviews, coding coordination, and compliance reporting to ensure adherence to SEC requirements and investment guidelines.
Lead and coach the Investment Compliance team, oversee JV operations, ensure SLA/KPI compliance, and drive process improvements and new client onboarding projects.
Minimum 9+ years of experience in Fund Administration or related roles with mandatory investment compliance monitoring or coding experience (pre or post-trade).
University degree in Business with focus on Accounting, Finance, or Financial-related field.
Strong knowledge of U.S. Investment Companies Act of 1940 or UCITS required.
Not explicitly mentioned: Notice period or specific location requirements.
Experienced in interpreting complex investment guidelines and regulatory requirements (SEC, prospectus/SAI) to actionable compliance rules.
Comfortable managing teams and third-party vendors (JV) to meet compliance, SLA, and KPI targets.
Skilled in coordinating cross-functional teams including coding, client service, and operations to deliver accurate compliance solutions.