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Tier-1 brand, metro location, and mid-level experience increase candidate competition.
Role requires investment-funds compliance expertise, limiting transferability across industries.
Explicit 4+ years, mandatory investment compliance experience, Alteryx/SQL and regulated environment raise screening rigor.
Lead onboarding of investment clients by interpreting prospectuses and creating compliance rule matrices for SEC and investment guideline adherence.
Conduct annual reviews and ad-hoc research to ensure client portfolios comply with investment mandates and regulatory requirements.
Coordinate with coding and internal teams to maintain accurate compliance reporting and identify operational risks and suspicious activities.
Minimum 4+ years experience in Fund Administration or related work with mandatory investment compliance monitoring or coding experience (pre or post-trade).
University degree in Business, Accounting, Finance, or related financial programs.
Strong knowledge of U.S. Investment Companies Act of 1940 or UCITS.
Proficiency with Alteryx workflows and SQL; familiarity with compliance systems and procedures required.
Experienced in translating complex investment compliance requirements into actionable items for multiple internal teams in asset management or financial services.
Capable of managing detailed compliance reviews and coordinating across client, coding, and compliance teams under time-sensitive conditions.
Knowledgeable about regulatory frameworks, investment guidelines, and operational risk identification with strong analytical and communication skills.