Compliance Associate - Mutual Funds

Job Summary

A company is looking for a Compliance Associate - Mutual Funds.

Key Responsibilities

• Assist in monitoring compliance policies and procedures for registered mutual funds and their investment adviser
• Support the administration of the Code of Ethics program and perform due diligence on external money managers' compliance programs
• Prepare compliance reports, assist in trade oversight, and respond to regulatory inquiries

Required Qualifications

• Bachelor's degree preferred
• 3+ years of experience in investment management or financial services
• Experience in compliance program administration preferred
• Knowledge of securities laws and different asset classes preferred
• Technical knowledge of third-party diligence and monitoring tools preferred