Position summary:

Our client, is seeking a candidate for Asset Management Compliance position. The successful candidate will assist in all aspects of compliance with the Investment Company Act of 1940 (“1940 Act”) and the Investment Advisers Act of 1940 (“Advisers Act”) as well as specific fund restrictions for all open- and closed-end funds and separately managed institutional accounts.

Role & responsibilities (duties and essential job functions)

Respond to compliance due diligence questionnaires or complete compliance certifications;

  • Assist with preparation and ensuring the timely and accurate filing of all regulatory reports;
  • Assist in the review of marketing materials and RFPs;
  • Perform daily surveillance of e-communications for the adviser’s personnel;
  • Help evaluate the adequacy and effectiveness of the firms US’s policies, procedures and internal controls;
  • Participate in the planning and execution of the annual review of policies and procedures;
  • Participate in the harmonization of compliance procedures or process with the companies US’s global affiliates;
  • Investigate compliance issues as they arise. Escalate issues as appropriate to senior managers ;
  • Perform general compliance and operational risk related functions as instructed

• Participate in compliance related projects as needed

Experience / Qualifications and Skills (required, preferred; technical, functional skills)


• BS or BA

• A good understanding of the securities business 1-3 years

• Good interpersonal skills and effective writing, analytical, and communication skills


• General knowledge with the 1940 Act (interpreting 1940 Act fund and regulatory guidelines and restrictions). Knowledge of the Adviser’s Act a plus

*The position can be based in New York, Dallas, San Diego, or San Francisco.


Please email resumes to Jack Kelly at Jack@ComplianceSearch.com

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