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Private wealth management company located in New York City seeks a Mutual Fund Compliance Analyst (Temp-to-Perm/Perm). This is a long-term, consulting engagement with the possibility of permanent conversion and there is also an opportunity for direct-hire. The salary range is between $78K - $80K, with a bonus package.
The Mutual Fund Compliance Analyst will be part of a team that is responsible for administering the compliance programs for the firm’s proprietary mutual funds and their investment adviser.
Perform daily and weekly investment guideline monitoring for the firm’s 1940 Act mutual funds, common/collective trust funds, and offshore (Cayman) funds, including analyzing and validating exceptions and liaising with portfolio managers and fund admin to resolve issues as needed
Maintain investment guideline monitoring framework, including on-boarding of new mandates and interpretation and coding of new or amended requirements
Develop and maintain compliance rules and watch-lists in Bloomberg AIM, as required
Conduct and document quarterly testing in accordance with Rules 38a-1 and 206(4)-7 that may include best execution, Transaction Cost Analysis, insider trading surveillance, market manipulation surveillance, and compliance with firm policies, etc.
Collect, review, organize information to support test results, and suggest new tests to be developed
Assist with sub-advisor, administrator and other due diligence reviews (e.g., review of materials, note taking, and report drafting)
Prepare certain board materials, including reports on soft dollars and client commissions
Assist with the restricted list maintenance, personal trading, pre-clearance and portfolio monitoring
Act as secretary to certain committees
Keep current on laws and regulations that affect SEC registered investment advisers and mutual funds
Assist with other Compliance and/or Risk related activities or projects, as needed
Two plus years in a U.S. mutual fund compliance monitoring role
Basic understanding of the Investment Company Act of 1940 and Investment Advisers Act of 1940
Proficient in Bloomberg VMGR and CMGR functions and/or creating investment rules and restrictions in Bloomberg
Strong follow-through and documentation skills: as the core team member responsible for mutual fund investment monitoring, the person must be able to report issues promptly and follow them through to resolution, including documentation of such resolution
Strong organizational skills and interpersonal skills
Sound understanding of fixed income, equities and derivatives securities helpful
Proficient in Microsoft Word, Excel, and Outlook
Knowledgeable of mutual fund order management systems (e.g., Longview) and/ or accounting systems (e.g., Global Plus) is desirable with the ability to conduct searches and run reports in such systems
Frink-Hamlett Legal Solutions is a WBENC certified placement firm that provides outstanding legal professionals on a permanent and consulting basis. We are also uniquely positioned to provide inclusive candidate pools. Please visit our website at www.frinkhamlett.com for additional career opportunities.
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