Portfolio Compliance Analyst

Analyze investment guidelines of 1940 Act funds and create corresponding compliance rules Support new fund launches through implementation of compliance rules Update compliance rules based on changes in prospectus disclosures and investment guidelines Troubleshoot coding issues and make appropriate adjustments Ensure compliance with prospectus guidelines, regulatory requirements, and applicable EIM policies and procedures relating to 1940 Act funds Collaborate with internal stakeholders and external vendors/sub-advisers Assist in development of the compliance program for 1940 Act funds, including implementation of new regulations Assist with regulatory filings, annual compliance reviews and testing, and applicable board reporting obligations Investigate, resolve, and remediate compliance errors in coordination with internal and external stakeholders Assist with ongoing compliance and risk management requirements of the funds’ Derivatives Risk Management Program Participate in special projects and strategic initiatives Requirements Bachelor's Degree 5+ years of portfolio compliance experience Established knowledge of the Investment Company Act of 1940 and Investment Advisers Act of 1940 Experience overseeing compliance system monitoring of post-trade activity, including escalation and resolution of issues Experience supporting 1940 Act fund launches, ongoing fund compliance, testing, disclosures, and regulatory filings Knowledge of valuation, liquidity, affiliation, portfolio guidelines, and 1940 Act fund governance Preferred: experience with sub-advised mutual funds, fund-of-funds, and multi-advised fund structures Preferred: demonstrated attention to detail, analytical, organizational, and critical-thinking skills, with ability to manage multiple priorities, evaluate complex information, and deliver accurate, high-quality results Accuracy and attention to detail Ability to communicate complex concepts clearly Ability to manage multiple concurrent priorities Knowledge of and ability to comply with securities laws and regulations Core Competencies Demonstrates extensive knowledge of the Investment Company Act of 1940 and Investment Advisers Act of 1940, with a strong focus on compliance rule implementation, regulatory filings, and risk management for 1940 Act funds. Proven ability to analyze complex investment guidelines and collaborate effectively with stakeholders to ensure adherence to compliance standards. Highest-signal resume keywords Portfolio Compliance Experience Investment Company Act Knowledge Regulatory Filings Experience Attention to Detail Risk Management Program Knowledge ATS Optimization Keywords Hard Skills Compliance Rule Implementation Regulatory Requirements Analysis Post-Trade Activity Monitoring Compliance System Oversight Fund Launch Support Valuation Knowledge Liquidity Management Portfolio Guidelines Compliance Derivatives Risk Management Compliance Testing Soft Skills Analytical Skills Organizational Skills Critical Thinking Communication Skills Ability to Manage Multiple Priorities Certifications & Qualifications Bachelor's Degree Industry Keywords 1940 Act Funds Investment Guidelines Securities Laws Compliance Sub-Advised Mutual Funds Fund-of-Funds Structures Multi-Advised Fund Structures #J-18808-Ljbffr Jobtailor