Compliance Specialist

1 month ago

Concord, United States Larson Maddox Full time

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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