Buy Side Compliance

Responsibilities:

• Assist in maintaining and updating policies and procedures relating to registered funds.
• Review registered fund filings, marketing materials, and client communications.
• Advise on issues relating to distribution.
• Oversee reporting processes.
• Perform compliance testing and monitoring.
• Assist in conducting company-wide training to meet SEC obligations.
• Monitor industry-wide compliance initiatives as well as important federal, state, and non-U.S. regulatory developments and conduct analyses as to how such developments impact our activities.

Qualifications:

• Bachelor's degree in a related field
• 6-10 years of compliance program oversight in the RIA and Investment Company Act of 1940 registered products space with implementation and guideline monitoring experience
• Knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and applicable and FINRA rules
• Experience in investment management, wealth management, or fintech industry
• Proficient in Microsoft Office Suite, specifically Word, PowerPoint and Excel
• Excellent presentation, communication, and interpersonal skills
• Willingness to learn new topics and work in an evolving business environment
• Organized and detail-oriented with big picture capability
• JD. or equivalent is preferred
• FINRA Series 7 and 24 is preferred