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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in compliance with the Investment Company Act of 1940 and Investment Advisers Act of 1940, including the development and implementation of compliance rules for 1940 Act funds. Proficient in managing compliance systems, regulatory filings, and risk management requirements while ensuring adherence to securities laws and regulations.
Highest-signal resume keywords
Portfolio Compliance ExperienceInvestment Company Act of 1940 KnowledgeCompliance System MonitoringRegulatory Filings ExperienceAttention to Detail
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Compliance Rule DevelopmentRegulatory ComplianceRisk ManagementPost-Trade Activity MonitoringFund Launch SupportCompliance TestingValuation KnowledgeLiquidity KnowledgePortfolio Guidelines KnowledgeGovernance Knowledge
Soft Skills
Analytical SkillsOrganizational SkillsCritical-Thinking SkillsAttention to DetailAbility to Manage Multiple Priorities
Certifications & Qualifications
Bachelor's Degree
Industry Keywords
1940 Act FundsSecurities LawsSub-Advised Mutual FundsFund-of-FundsMulti-Advised Fund Structures
About the role
Key responsibilities & impact- Analyze investment guidelines of 1940 Act funds and create corresponding compliance rules
- Support new fund launches through implementation of compliance rules
- Update compliance rules based on changes in prospectus disclosures and investment guidelines
- Troubleshoot coding issues and make appropriate adjustments
- Ensure compliance with prospectus guidelines, regulatory requirements, and applicable EIM policies and procedures relating to 1940 Act funds
- Collaborate with internal stakeholders and external vendors/sub-advisers
- Assist in developing the compliance program for 1940 Act funds, including implementation of new regulations
- Assist with regulatory filings, annual compliance reviews and testing, and applicable board reporting obligations
- Investigate, resolve, and remediate compliance errors with internal and external stakeholders
- Assist with ongoing compliance and risk management requirements of the funds' Derivatives Risk Management Program
- Participate in special projects and strategic initiatives
Requirements
What you’ll need- Bachelor's Degree
- 5+ years of portfolio compliance experience
- Established knowledge of the Investment Company Act of 1940 and Investment Advisers Act of 1940
- Experience overseeing compliance system monitoring of post-trade activity, including escalation and resolution of issues
- Experience supporting 1940 Act fund launches, ongoing fund compliance, testing, and/or disclosures
- Knowledge of valuation, liquidity, affiliation, portfolio guidelines, and 1940 Act fund governance
- Preferred: Experience with sub-advised mutual funds, fund-of-funds and multi-advised fund structures
- Preferred: Demonstrated attention to detail, analytical, organizational, and critical-thinking skills
- Ability to manage multiple priorities, evaluate complex information, and deliver high-quality results with accuracy and precision
- Knowledge of securities laws and regulations and ability to comply with relevant laws and regulations
Benefits
Comp & perks- Flexible hybrid office/remote work environment
- Base salary increases
- Spot bonuses
- Short-term incentive compensation opportunities
- Medical insurance
- Dental insurance
- Vision insurance
- 401(k) plan
- Paid time off
- Growth opportunities
- Internal mobility
- Comprehensive compensation and benefits
- Flexibility
- Culture of collaboration and teamwork