Compliance Examiner

2 weeks ago

Pittsburgh, United States Federated Hermes Inc. Full time

POSITION SPECIFICATIONS:* Bachelor Degree or equivalent comparable business experience, including experience in financial services organizations in compliance, fund accounting, legal, audit or similar environment required; degree in accounting, finance or business preferred* Minimum 2 years of business experience; advanced degree (e.g. MBA or JD) may be accepted in lieu of experience* FINRA SIE, S7TO, S24, S66, or obtain within a reasonable time preferred* Basic understanding of mutual fund/investment adviser process/regulations or financial industry experience is required* Experience with mutual fund or investment adviser compliance, broker-dealer compliance, legal, audit, or operations preferredMAJOR DUTIES:This position develops, implements and performs independent monitoring and testing of Federated Hermes' investment management activities or sales, distribution and service activities for compliance with Federated Hermes policies and procedures and applicable rules and regulations. This may include but is not limited to:* Review portfolio investments for adherence to the stated investment objectives and policies and to regulatory standards* Identify and draft automated portfolio restrictions for trade order management systems* Perform period reviews related to Federated Hermes Investment management activities, including, but not limited to the following:* Records of soft dollar transactions and allocation of trades to selling brokers;* Borrowing and advisory policies and procedures; and* Restricted and illiquid securities.* Assist in monitoring compliance with Federated Hermes' Code of Ethics for Access Persons* Customer Servicing and Third-Party Transfer Agent including compliance with Anti-Money Laundering policies and procedures and rules and regulations, suspicious and/or fraudulent activities, transaction processing, fund prospectus requirements, privacy and data protection policies and procedures, information security and identity theft prevention and customer complaint reporting* Compliance with firm level FINRA rules, including, but not limited to net capital calculations, required regulatory filings, licensing and registration and aggregate sales charge limitation calculations* Perform oversight of Registered Representative activities, including, but not limited to expense report reviews, gift limit compliance, review of correspondence and compliance meetings and continuing education tracking* Monitor foreign accounts and off-shore funds for compliance with distribution practices regarding registration status.* Perform verifications of private fund investors' status as an accredited investor and/or qualified purchaser, pursuant to Regulation D and Federated Hermes policy.* Assist in developing and maintaining the compliance monitoring programs and draft reports for submission to senior management and/or the board of directors.* Conduct research in connection with federal and state laws and regulations.* Assist in regulatory inspections and perform operational reviews and special compliance reviews of designated business functions.HOURS/LOCATION:* 8:30 a.m. - 5:00 p.m. (Overtime as required)* Federated Hermes Tower - Pittsburgh, PA 15222EXPLANATORY COMMENTS:* Ability to interpret, keep abreast of, and apply new investment related laws, rules, and regulations* Must be process-oriented; have a commitment to a high quality work product; and high level of attention to detail* Demonstrated ability to work independently and prioritize work effectively* Excellent oral and written communication skills to communicate effectively with internal clients* Excellent interpersonal skills and cooperative attitude* Discretion in working with sensitive or confidential information* Strong verbal communication, organizational and follow-up skills with ability to work in a team environment* Demonstrated time management, organizational, and analytical skills#J-18808-Ljbffr

by Jobble

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    2 weeks ago

    Pittsburgh, United States Federated Hermes, Inc. Full time

    POSITION SPECIFICATIONS: * Bachelor Degree or equivalent comparable business experience, including experience in financial services organizations in compliance, fund accounting, legal, audit or similar environment required; degree in accounting, finance or business preferred* Minimum 2 years of business experience; advanced degree (e.g. MBA or JD) may be...

  • Compliance Examiner

    3 weeks ago

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