Consultant, Compliance

$100,000 - $110,000 yearly
  • The Resume Review - Recruiting Department
  • Chicago, IL, USA
  • May 25, 2021
Full time Accounting Finance

Job Description

Job description
This company is one of the world’s largest asset management firms with assets under management across a range of investment strategies.  Thoughtful investors worldwide are making this company their asset manager of choice because they develop the answers clients need for today’s challenging world.  They have a level of client dedication and collaboration clients can’t find anywhere else, and are anchored by renowned integrity and stability. Their investment process combines exhaustive research and vigilant risk management to provide a solid foundation for investing, and they also have an integrated technology platform and processing infrastructure that work around the clock and around the globe.
This role will report into the Head of Sub-Advisory Due Diligence and will work closely with the Mutual Fund CCO to develop, administer, and update mutual fund compliance policies and procedures for the oversight of external sub-advisors to the registered funds.
•Assist in the development and administration of the multi-manager mutual fund compliance programs; help define and develop risk parameters, implement the program and review the final reports. 
•Assist in the oversight of external sub-advisors’ Rule 38a-1 annual reviews - perform testing and oversight of policies and procedures. Prepare written documentation of results for submission to the fund CCO/Head of Sub-Advisory Due Diligence.
•Organize, analyze, review, and prepare deliverables for quarterly board reporting, including review sub-adviser compliance reporting for inclusion in quarterly reporting.
•Liaise with management and different departments regarding special projects and regulatory initiatives; provide guidance and analysis of rules and/or firm policies, as appropriate.
•Partner with business, operations, and legal partners to administer mutual fund compliance responsibilities and to advise on regulatory risks and requirements.
•Coordinate or assist in regulatory examinations and/or audits and prepare information and responses to various requests.
•Manage ad hoc projects, as needed.


Qualifications: •Minimum of 5 years of investment related experience with registered funds
•Strong familiarity with the Investment Company Act of 1940 
•Strong analytical and communication skills