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Tier-1 brand, metro location, and mid-level experience raise applicant competition.
Role requires specific investment-compliance knowledge and fund administration experience, limiting cross-industry transferability.
Mandatory 4+ years fund compliance experience and specific compliance/tooling requirements make shortlisting strict.
Onboard new mutual fund clients by interpreting investment mandates and creating compliance rule matrices.
Maintain and update compliance rules and ensure accurate daily/monthly compliance reporting to clients.
Identify and analyze operational risks in investment compliance processes and recommend procedural improvements.
Minimum 4+ years experience in Fund Administration or related roles with mandatory investment compliance monitoring or coding experience.
Strong knowledge of U.S. Investment Companies Act of 1940 or UCITS.
University degree in Business majoring in Accounting, Finance, or related financial programs.
Work Experience Required: 4+ years in relevant fund administration or investment compliance roles.
Experienced in translating client investment guidelines into actionable compliance requirements and working closely with coding and reporting teams.
Proficient in analyzing investment policies and compliance rule coding, with a strong analytical approach to ensure adherence to regulatory standards.
Familiar with compliance monitoring tools and practices including knowledge of SQL and Alteryx workflow; certifications like CFA, FRM, or CISI preferred but not mandatory.