Fund Compliance Associate

2 weeks ago

Philadelphia, United States FS Investments Full time

The Compliance Associate will assist the Funds' Chief Compliance Officer in the development, maintenance, management, monitoring and testing of compliance programs pursuant to the Investment Company Act of 1940 and the Investment Advisers Act of 1940.

The successful candidate is expected to:

* Assist the Funds' Chief Compliance Officer in administering all aspects of the compliance programs for all registered funds.
* Conduct compliance-related, internet-based research in support of existing and new fund products.
* Conduct and document risk assessments.
* Review certain deal documents for purposes of determining whether certain proposed investments of BDCs qualify as Eligible Portfolio Companies (EPCs).
* Design, implement, perform and document compliance monitoring and testing processes and procedures.
* Assist with due diligence of pricing and valuation services, sub-advisers, transfer agents, administrators and principal underwriters.
* Monitor and report on compliance with exemptive orders received from the SEC.
* Assist with the drafting of new or revised compliance-related policies and procedures.
* Assist with the design and production of Board reports and materials.
* Assist with responding to inquiries from federal regulators.
* Identify and monitor affiliated entities and report thereon.
* Assist with identification and resolution of potential investment conflicts.
* Review Form N-PORT and Form N-CEN reporting.
* Administer Code of Ethics oversight, reporting and compliance.
* Assist with design, implementation and reporting for open-end fund Liquidity Risk Management Programs.
* Assist with design, implementation and reporting for registered fund Derivatives Risk Management Programs.
* Assist with the design, implementation and testing of Fund AML Programs, where applicable.
* Assist with the design and production of educational presentations for fund Boards of Directors/Trustees.
* Gain exposure to the FS Funds' Boards of Directors/Trustees and cultivate working relationships therewith.

Qualifications:

* Bachelor's Degree required.
* Minimum of 4-6 years of fund compliance or audit experience required (adviser compliance experience a plus).
* Strong working knowledge of SEC regulations, especially the Investment Company Act of 1940 and the Investment Advisers Act of 1940, preferred.
* Prior compliance-related experience with registered closed-end funds, registered open-end funds, and private funds preferred.
* Prior experience with the design and implementation of a compliance program testing and monitoring plan or other comparable types of testing preferred.
* Prior experience in performing thorough and efficient compliance-related, internet-based research preferred.
* Strong Excel skills required.
* Strong working knowledge of Word and PowerPoint a plus.
* This is a Philadelphia based role and candidates must be willing to be in the office 4 days per week.

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