One of the top Mutual Funds in the US is building out their compliance program. They are nationally and internationally recognized as being a leader within the field, and they are looking to bring on the best and brightest to grow their team.
The right candidates will have the opportunity to lead the compliance program's control and testing functions across the firm's policies and procedures. They will take ownership of the program, and will help determine the proper steps to take once finds have been made.
Review and assess internal policies and procedures
Create and present reports to senior management
Liaise with multiple business lines
Take ownership of the compliance monitoring programs
3-5 years of compliance experience - specifically within a Mutual Fund, or Financial Services
Specific experience with the Investment Company Act of 1940 and Investment Advisers Act of 1940
Series 6 and 7 preferred
If interested in learning more about this position please apply in with your updated resume in Word format.