Our Client, a highly regarded investment management firm, is seeking a Compliance Associate to join their Legal & Compliance Team. The Legal and Compliance Team is responsible for developing and maintaining the compliance program. The Compliance Associate position is primarily responsible for preparing the firm’s SEC regulatory filings, including fund registration statements and shareholder reports; assisting with subadviser oversight; and maintaining foreign market registrations.


Regulatory Filings
• Preparation of SEC regulatory filings, such as initial filings and annual updates to the registration statement on Form N-1A, registration statement supplements, annual and semi-annual reports, Forms N-SAR, N-CSR, N-Q, N-MFP, 24f-2, N-PORT, N-CEN and N-PX
• Preparation and filing of Forms ADV and PF with the SEC
• Preparation and filing of quarterly and annual filings with the NFA and the CFTC
• Assist as necessary with proxy and information statements
• Assist with new fund launches, the addition of new subadvisers and fund closings

• Assist with Subadviser Oversight
• Review, monitor and audit content posted to the firm’s retail website, including advertising, tax and retirement materials
• Follow and/or apply company compliance policies and procedures and assist with periodic updates and drafting of new policies and procedures

Foreign Registrations
• Monitor and maintain foreign market trading registrations for the firm’s clients, including understanding the requirements of various foreign markets, opening new accounts and renewing expiring registrations
• Monitor and file necessary reports for ownership of foreign securities where the firm’s ownership exceeds the applicable country ownership thresholds
• Maintain powers of attorney for proxy voting in applicable foreign markets

Industry and Technical Competency
• Understand rules and regulations under the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934 and other related securities and corporate law and apply to the business and operations of the firm and its subsidiaries
• Review industry publications, attend conferences and remain apprised of developments in SEC rules and regulations and other related securities and corporate law
• Maintain technological skills necessary to perform all assigned duties and effectively utilize related software systems
• Seek opportunities to further develop technological skills or source new technology solutions

Team and Cross-Team Projects
• Participate in intra-departmental and cross-company projects


• Bachelor’s Degree or equivalent
• Two or more years of experience as a compliance professional or 1940 Act mutual fund paralegal (or similar position) in a financial services firm or law firm and focusing on mutual fund administration
• Committed to maintaining the highest ethical standards


The ideal candidate will possess the following attributes:

• Intelligent and team oriented with a positive attitude and a strong attention to detail
• Ability to work individually and with other team members under pressure and prioritize competing tasks that require the highest level of attention to detail and accuracy
• Responsible for coordinating complex projects with multiple internal and external parties; therefore, candidate must demonstrate a cooperative attitude and exceptional interpersonal and consensus building skills
• Responsible for managing diverse and complex projects according to timelines that the candidate will create and monitor; therefore, strong project and time management skills are a must
• Demonstrates drive for continuous improvement and pursuit of challenging goals
• Excellent oral and written communication skills are required
• Advanced proficiency with Microsoft Word, Excel and Outlook and skilled generally with learning and administering technological applications
• An interest in the mutual fund industry and understanding of the laws that govern its activities, including the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, and the Securities Exchange Act of 1934
• Ability to shift focus dependent upon the need of the department to support teamwork
• Experience with SEC mutual fund regulatory filings

Please send resumes to Heather Johnson – Heather@ComplianceSearch.com

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