Asset Management, ETF, Mutual Fund Compliance

  • 100K-150K + 20% Bonus
  • New York, NY, USA
  • Permanent, Full time
  • The Compliance Search Group, LLC
  • 19 Oct 17 2017-10-19

A global midsized investment management firm offering ETFs, mutual funds, and other investment vehicles seeks a Compliance professional.

The Compliance person will be involved in a wide array of daily compliance responsibilities. 

Essential Duties and Responsibilities:

  • Managing the firm’s investment guideline monitoring program, including on-boarding of new mandates, interpretation, coding, daily monitoring and resolution of issues.
  • Documenting manual guidelines and working cooperatively with investment teams to ensure adequate monitoring.
  • Assist in overseeing the compliance program for the mutual funds, ETFs, hedge funds, investment advisers and broker dealer.
  • Conducting ongoing testing of various policies and procedures.
  • Completing monthly, quarterly and annual compliance reporting requirements for existing clients.
  • Ad-hoc compliance projects.
  • Assisting in the monitoring of the code of ethics.
  • Assist in monitoring for compliance with client guidelines and restrictions
  • Assist in monitoring trade desk
  • Drafting and amending policies and procedures.
  • Assist in 206(4)-7 and 38(a)-1 reviews
  • Assist in vendor, sub-advisor and other due diligence reviews


  • Knowledge of how to Code in the Bloomberg Order Management System or similar Compliance and Order Management System
  • Understanding of the guideline monitoring function within an investment management organization.
  • Knowledge of the Investment Company Act of 1940, Investment Adviser Act of 1940, and UCITs regulations.

Education and/or Experience

  • Bachelors Degree in Finance, Accounting
  • Advanced Degree Preferred
  • Minimum of 5-7 years relevant experience within an asset management firm. Compliance, Fund Administration, Operations, or Finance experience preferred