Provide end-to-end support to investment company clients and their Compliance teams by sharing meaningful insights about fund compliance with SEC requirements and investment guidelines
Job Summary
Provide end-to-end support to investment company clients and their Compliance teams by sharing meaningful insights about fund compliance with SEC requirements and investment guidelines.
Onboard new clients by interpreting mandates, extracting restrictions, and creating compliance rule matrices, while liaising with clients for necessary information.
Identify and analyze operations risks, recommend procedural changes, and ensure timely resolution of issues while keeping management informed.
Matching Summary
Provide end-to-end support to investment company clients and their Compliance teams by sharing meaningful insights about fund compliance with SEC requirements and investment guidelines.
Skills & Requirements
Must-have
SEC requirements
investment guidelines
Prospectus/SAI interpretation
compliance rule matrix
Alteryx workflow
SQL knowledge
Nice-to-have
Charles River Development (CRD)
Visual Basic Applications (VBA)
Key Requirements
4+ years in Fund Administration
Investment compliance monitoring or coding experience
Knowledge of U.S. Investment Companies Act of 1940 or UCITS