Compliance Analyst
Our Exton, PA area client is seeking a Compliance Analyst (40Act)to support its newly launched mutual fund business. Hybrid work environment.
This is a ground floor opportunity responsible for supporting the mutual fund launch and all other subsequent funds.
Responsibilities:
- Working with various stakeholders on data collection and management
- Resolving issues, performing follow up, and responding to documentation requests
- Monitoring electronic communications
- Overseeing regulatory records and compliance calendar maintenance
- Maintaining Code of Ethics monitoring systems, including required certifications distribution and review
- Providing risk assessment process support
- Coordinating service provider compliance materials
- Preparing training and presentation materials
Requirements:
- 2+ years RIA or RIC financial services compliance experience
- Knowledge of Investment Company Act of 1940 and Investment Advisors Act of 1940
- Advanced Microsoft Office proficiency
- Compliance monitoring systems experience
- Strong attention to detail
Additional Details:
Employment Type: Direct hire
Compensation: To $90k + bonus
The specific compensation for this role will be determined based on the education, experience, location and skill set of the individual selected for this position.
SolomonEdwardsGroup, LLC is an Equal Opportunity/Affirmative Action employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability, gender identity, sexual orientation, or protected veteran status.
SolomonEdwardsGroup, LLC adheres to the California Consumer Privacy Act (CCPA). Your privacy is important to us, and we never sell your data to third parties. Personal information is only collected to match applicants with job opportunities. For more information on your rights, click here: https://solomonedwards.com/privacy-policy/#ccpa
