Overview

*Additional Locations: San Diego and San Francisco

Position summary:

Our client is seeking a Senior Compliance Analyst. 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.

  • Participate in the planning and execution of the annual review of policies and procedures;
  • Assist with the review and preparation of materials for quarterly fund board meetings;
  • Help coordinate and participate in ongoing and periodic service provider due diligence
  • Participate in the harmonization of compliance procedures or process with the firms US’s global affiliates;
  • Investigate and help resolve any compliance issues as they arise. Escalate issues as appropriate to senior managers;
  • Perform general compliance and operational risk related reviews , including e-communications and forensic reviews of various components of the compliance program;
  • Participate in compliance related projects, some of which may be global in nature;
  • Assist with analytical reviews of investment portfolios with respect to compliance with investment objectives, as disclosed in regulatory
  • Respond to compliance due diligence questionnaires, complete compliance certifications, and perform reviews of RFPs;
  • Help assess the adequacy and effectiveness of the companies US’s policies, procedures and internal controls;
  • Assist with reviewing and ensuring the timely and accurate filing of all regulatory

Remain up-to-date on regulatory developments and help develop or update policies and procedures whenever necessary.

Experience / Qualifications and Skills:

(required, preferred; technical, functional skills)

Required:

  • BS or BA
  • Solid understanding of securities business (3 – 5 years)
  • General knowledge with the 1940 Investment Company Act (interpreting fund & regulatory guidelines and restrictions) and the Investment Advisor’s Act.
  • Strong interpersonal, writing, analytical and communication skills

Preferred:

Working knowledge of related risks and controls

Success criteria:

(leadership behaviour)

-Strong time management skills and ability to meet deadlines

Please send resumes to Jack@compliancesearch.com

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