Compliance Specialist
1 month ago
We have a current opportunity for a Fund Compliance Specialist on a permanent basis. The position will be based in Concord, CA. For further information about this position please apply.
Responsibilities:
- Assist in the development and execution of the compliance program for the Funds, collaborating with various departments, as well as vendors, outside counsel, and sub-advisors.
- Support the ongoing implementation and execution of the Funds' risk assessment and testing program, including conducting compliance testing, documenting and presenting results, and identifying enhancements and remedial actions.
- Aid in the preparation of materials for mutual fund board meetings and electronic board books.
- Review compliance exception reports and maintain documentation of resolution.
- Assist in preparing materials for the annual renewal process of advisory, sub-advisory, and service provider agreements.
- Contribute to compliance projects and firm-wide strategic initiatives, taking proactive steps to identify and address new or changing regulations.
Knowledge, Skills, Abilities:
- General knowledge of the securities industry is preferred.
- Demonstrates ethics and integrity, aligning with core values and holding others accountable.
- Collaborates effectively with team members across the organization.
- Produces high-quality, accurate work and possesses strong analytical skills.
- Exceptional organizational skills, including effective prioritization, follow-up, and meeting deadlines.
- Exemplary oral and written communication skills for interactions with internal stakeholders, external auditors, legal counsel, and other service providers.
- Proficiency with Microsoft Suite (Word, Excel, PowerPoint).
Education & Experience:
- Bachelor's degree required, preferably in Accounting, Finance, or Economics, or equivalent experience.
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