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Tier-1 brand, metro location, and mid-level experience create high candidate competition.
Role's specialized mutual fund and SEC compliance expertise makes cross-industry transfer limited, increasing background sensitivity.
Explicit 4+ years requirement, mandatory investment compliance experience, and regulated SEC knowledge raise strict shortlisting filters.
Own onboarding of new clients by interpreting investment mandates and creating compliance rule matrices for investment compliance.
Maintain and review compliance rules ensuring alignment with updated client prospectuses and regulatory requirements such as SEC and Investment Company Act of 1940/UCITS.
Collaborate with internal teams and clients to ensure accurate daily and monthly compliance reporting and resolve compliance queries effectively.
Minimum 4+ years experience in Fund Administration or related investment compliance roles with mandatory exposure to pre or post-trade compliance monitoring or coding.
University degree in Business with a focus on Accounting, Finance, or related financial fields.
Strong knowledge of U.S. Investment Companies Act of 1940 or UCITS and investment compliance regulations.
Experience with Alteryx workflow design and SQL required; knowledge of Charles River Development (CRD) coding and VBA is a plus.
Experienced in interpreting complex investment guidelines and translating them into actionable compliance rules within asset management environments.
Skilled in managing regulatory compliance for mutual funds, ETFs, and institutional investment products with attention to detail and risk management.
Capable of collaborating cross-functionally with coding, client service, and compliance teams to maintain operational accuracy and timely reporting.