Compliance Associate - Registered Funds

Job Description

Job Description

Description:

We are seeking a Compliance Associate with experience and working knowledge of mutual funds, exchange-traded funds (ETFs), and other registered investment companies. This position will work directly with clients and collaborate with members of our compliance team to support SEC-registered investment advisers that manage or advise registered investment companies.
The ideal candidate will have practical knowledge of registered fund structures, the Investment Company Act of 1940 , the Investment Advisers Act of 1940 , and the compliance requirements applicable to mutual funds, ETFs, their investment advisers, and other participants in the registered fund environment.
This is a client-facing role requiring strong technical knowledge, communication skills, attention to detail, and the ability to work collaboratively with both clients and colleagues. 

Key Responsibilities

• Work directly with SEC-registered investment adviser clients that serve as investment advisers or sub-advisers to mutual funds, ETFs, and other registered investment companies.
  
• Collaborate with other members of the compliance team to support clients' ongoing compliance programs.
  
• Support compliance programs addressing requirements under the Investment Advisers Act of 1940 and Investment Company Act of 1940 , including the additional regulatory requirements associated with managing or advising registered investment companies.
  
• Assist clients with the administration, monitoring, testing, and enhancement of their compliance policies and procedures.
  
• Review policies, procedures, compliance testing, and other elements of advisers' compliance programs as they relate to mutual fund and ETF activities.
  
• Assist with ongoing regulatory filings, compliance monitoring, testing, documentation, and recordkeeping requirements.
  
• Support the preparation and review of materials related to registered fund compliance oversight and governance.
  
• Assist clients and team members in identifying regulatory developments affecting registered investment advisers, mutual funds, and ETFs and evaluating their impact on existing compliance programs.
  
• Work collaboratively on compliance matters involving fund service providers and other parties supporting registered investment companies.
  
• Participate in client meetings and provide practical compliance support related to registered fund activities.
  
• Assist with SEC examinations, compliance reviews, annual reviews, and other regulatory matters involving investment advisers and registered investment companies. 

Qualifications
Bachelor's degree required.

• Professional experience working with mutual funds, ETFs, registered investment companies, investment advisers to registered funds, or in a closely related investment management compliance environment.
  
• Working knowledge of the Investment Company Act of 1940 and practical experience with the regulatory and compliance requirements applicable to mutual funds, ETFs, or other registered investment companies.
  
• Familiarity with the Investment Advisers Act of 1940 and the compliance obligations of SEC-registered investment advisers.
  
• Experience in investment management compliance, registered fund compliance, legal or regulatory matters, consulting, fund administration, or a related field.
  
• Ability to understand and apply regulatory requirements to day-to-day compliance activities.
  
• Strong analytical and organizational skills with careful attention to detail.
  
• Strong written and verbal communication skills and the ability to communicate effectively with clients and colleagues.
  
• Ability to manage multiple client matters and priorities in a collaborative, deadline-driven environment.
  

Experience Particularly Relevant to This Role
Experience in one or more of the following areas is highly desirable:

• Mutual fund or ETF compliance
  
• Registered investment company compliance programs
  
• Investment adviser compliance
  
• Investment Company Act requirements
  
• Fund governance and board reporting
  
• Compliance testing and annual reviews
  
• SEC regulatory examinations
  
• Regulatory filings and recordkeeping
  
• Fund service-provider oversight
  
• Policies and procedures applicable to advisers or sub-advisers to registered funds
  

What We're Looking For
We are looking for someone who combines registered funds knowledge with strong client-service skills . The successful candidate should be comfortable working directly with investment adviser clients, collaborating with other compliance professionals, researching regulatory requirements, and helping translate those requirements into practical compliance processes.