Compliance Associate
4 weeks ago
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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