Compliance Registered Fund Associate

Overview

• Join a dynamic compliance team focusing on registered funds and private offerings.
• Collaborate with Legal and Compliance teams on regulatory matters and initiatives.
• Contribute to maintaining and enhancing compliance policies and procedures.
• Assist in implementing compliance testing programs and monitoring activities.
• Engage in reviewing marketing materials for SEC and FINRA compliance.
• Support regulatory reporting and fund board material preparation.
• Stay updated on industry-wide compliance initiatives and regulatory developments.
• Work in a hybrid environment combining remote and on-site collaboration.

Key Responsibilities & Duties

• Review investment product marketing materials to ensure SEC and FINRA compliance.
• Conduct compliance testing and monitoring for registered fund activities.
• Assist in updating policies and procedures based on regulatory changes.
• Facilitate company-wide training to meet compliance obligations.
• Prepare fund board materials and oversee board reporting processes.
• Analyze regulatory developments and assess their impact on operations.
• Collaborate with cross-functional teams to address compliance matters effectively.
• Support compliance initiatives related to privately offered funds.

Job Requirements

• Bachelor's degree in a related field is required.
• 2-5 years of experience in compliance program oversight for registered products.
• Knowledge of the Investment Company Act of 1940 and FINRA rules.
• Experience in investment management, wealth management, or fintech industries.
• Strong understanding of compliance restrictions around registered products.
• Motivated to learn and adapt in a dynamic business environment.
• Hybrid work arrangement offering flexibility and collaboration opportunities.
• Competitive compensation including bonus and equity incentives.