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Tier-1 brand, metro location, and a common mid-level compliance role attract many qualified applicants.
Requires US securities law knowledge and investment-adviser testing experience, limiting cross-industry transferability.
Explicit 3–5 years requirement plus US securities law expertise and sector-specific testing experience increases screening strictness.
Support compliance testing including annual reviews under Rule 38a-1 (Investment Company Act) and Rule 206(4)-7 (Investment Advisers Act).
Coordinate information requests and perform preliminary reviews and analyses of compliance documentation.
Maintain organizational tracking of compliance requests, submissions, and approval processes; assist with ad hoc compliance projects.
3-5 years of Compliance experience in financial services, preferably in testing, monitoring, or audit for an Investment Adviser or Registered Investment Company.
Bachelor's degree (BA or BS).
Knowledge of U.S. federal securities and commodities laws including the Investment Advisers Act of 1940, Investment Company Act of 1940, and Commodity Exchange Act.
Work Experience Required: 3-5 years in compliance; Notice period: Not explicitly mentioned in the JD.
Experience working in compliance functions related to regulatory testing and monitoring for investment advisers or registered investment companies.
Able to manage multiple tasks, meet deadlines, and exercise sound judgment independently and collaboratively.
Strong organizational and communication skills with proficiency in Microsoft Office suite.