A Global Investment Management firm and subadviser to it’s parent Investment Company’s Mutual Funds, is seeking a Lead Compliance Officer for their Mutual Funds Compliance Program.

An SEC registered investment adviser that manages fixed income assets, including public bonds, private placements, derivatives and alternative investments; the firm manages over $100 Billion assets, and is a subsidiary of a Global Asset Management firm with over $350 billion AUM. The firm is also registered as a Limited Purpose Broker Dealer, to facilitate their Institutional Markets Distribution process.

Their client base includes corporate, union and public pensions, endowments, foundations, insurance companies, subadvisory, family offices and wealth managers.

Job Profile Summary: Responsible for ensuring and maintaining the organization’s compliance with applicable federal and state legal requirements, regulations and the rules of self-regulatory organizations and compliance policies.

Job Description – Responsibilities

  • Administer mutual fund compliance program designed to comply with the Investment Company Act Rule 38a-1, Investment Advisers Act Rule 206(4)-7, and related regulatory requirements
  • Lead various aspects of the mutual fund compliance program responsibilities within the framework of the US compliance program
  • Develop, administer, and update mutual fund compliance procedures
  • Lead, interpret, and/or provide technical expertise related to federal securities law requirements with specific focus on the Investment Company Act
  • Partner with business, operations, and legal colleagues to administer mutual fund compliance responsibilities and to advise on regulatory risks and requirements
  • Perform monitoring, testing, and oversight of mutual fund policies and procedures
  • Prepare mutual fund compliance reports, support due diligence activities, and respond to informational requests
  • Manages highly complex Compliance matters with minimal supervision
  • Compliance reviews, regulatory examinations, investigations, rule changes and/or industry trends as appropriate
  • Works with multiple functions, units or locations of the division/business unit to develop cost-effective and common solutions to achieve regulatory compliance on a division-wide basis
  • Represents the company on industry committees and Compliance on company-wide projects regarding various regulatory issues
  • Assists in evaluating overall Compliance Risk factors
  • Assists with regulatory examinations, corporate audits, and Internal audits
  • Assists with various regulatory required filings
  • Provide mutual fund compliance related training
  • May be required to perform other duties as assigned


  • 5+ years of experience in an investment management compliance role with focus on the Investment Company Act
  • Bachelor’s degree in business or related field, or equivalent education and experience
  • Strong knowledge of mutual fund compliance practices, rules, and regulations with emphasis on the Investment Company Act and Investment Advisers Act
  • Advanced understanding of ’40 Act, Advisers Act, ETF, UCITS, and NFA regulations and industry best practices.
  • Proven ability to prepare and administer mutual fund compliance policies and procedures
  • Thorough understanding of compliance issues affecting mutual funds
  • Ability to work independently to achieve results while fostering strong relationships and influencing others
  • Strong organizational, communication, project management, and problem solving skills
  • Ability to get results in a fast-past, results oriented environment
  • Alternatives and private fund experience a plus
  • Ability to resolve conflicts in a constructive manner and in the best interest of clients




212-997-3169 / mtuller@compliancesearch.com

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