Compliance Associate

2 months ago

Boston, United States Fm Investments, LLC Full time

Summary:

F/m Investments, LLC has an exciting opportunity for a Compliance Associate to join a growing company and work alongside the Assistant General Counsel and Chief Compliance Officer in Boston, MA. The position offers exposure to all aspects of legal and compliance for a registered investment advisor with $16 billion in assets under management across ETFs, mutual funds and separate accounts. The Compliance Associate will perform investment guideline monitoring, take a leading role in contract management, assist the Chief Compliance Officer with preparing regulatory filings for a wide range of mutual funds and ETFs and take on additional projects as needed.


Responsibilities:

Investment Guideline Monitoring:

  • Investigate and validate pre-trade override requests and alerts, post-trade warnings and potential breaches in portfolio management and monitor other reports.
  • Escalate and resolve issues with key stakeholders such as Portfolio Managers, Client Relationship Managers, and Operations personnel.
  • Conduct detailed testing of rules in automated compliance system to validate accuracy and effectiveness.
  • Identify data requirements needed for investment guideline monitoring.

Contract Management:

  • Assist in implementing an enterprise-wide contract management process and system, including population of a new database.
  • Track contract cycle and review vendors coming up for renewal.
  • Identify opportunities across the various business lines to negotiate enterprise-level contracts.
  • Provide support in the contract negotiation process.

Regulatory Support:

  • Assist the CCO with preparation of regulatory and board reporting for the company’s ETFs, mutual funds and for the entire business.

General Compliance and Legal Tasks:

  • Work with outside service providers such as compliance consultants and legal counsel.
  • Help to implement changes to compliance program in response to changes in the business or new regulatory requirements.
  • Assist with special project work and various legal & compliance initiatives.
  • Assist in gathering internal information in response to regulatory requests.
  • Perform various general administrative duties, i.e., file creation and maintenance and ongoing administrative projects.


QUALIFICATIONS

  • Demonstrated knowledge of the Investment Adviser and Investment Company Act rules.
  • Strong communication and interpersonal skills.
  • Ability to effectively engage and connect with people at all levels of the organization.
  • Self-starter and highly organized. Able to work well in a deadline-driven environment.
  • Digital literacy (Microsoft Office Suite). Must have prior experience with automated compliance and contract management systems. Preference given for familiarity with Bloomberg AIM, MyCompliance Office or similar automated compliance systems.
  • Ability to maintain confidentiality.
  • Genuine desire to achieve business objectives and provide solutions within the regulatory structure.
  • Has high integrity and expects the same from others.


EDUCATION

Minimum Required: College degree required: B.S. or B.A. in Finance, Law, Accounting or related field preferred.


EXPERIENCE

Minimum Required: 1-3 years’ related experience in financial services industry (preference given for advisory experience and experience with mutual funds and/or ETFs).

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