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Director, Regulatory Compliance

  • Job type: Permanent
  • Location: Boston, Massachusetts
  • Salary: Negotiable
  • Job reference: 295741/001_1554498321
  • Sector: Selby Jennings, Compliance
  • Date posted: 05/04/2019
  • Administer mutual fund compliance program designed to comply with the Investment Company Act Rule 38a-1, Investment Advisers Act Rule 206(4)-7, and related regulatory requirements
  • Lead various aspects of the mutual fund compliance program responsibilities within the framework of the US compliance program
  • Partner with business, operations, and legal colleagues to administer mutual fund compliance responsibilities and to advise on regulatory risks and requirements
  • Perform monitoring, testing, and oversight of mutual fund policies and procedures
  • Prepare mutual fund compliance reports, support due diligence activities, and respond to informational requests
  • Manages highly complex Compliance matters with minimal supervision
  • Compliance reviews, regulatory examinations, investigations, rule changes and/or industry trends as appropriate
  • Works with multiple functions, units or locations of the division/business unit to develop cost-effective and common solutions to achieve regulatory compliance on a division-wide basis
  • Represents the company on industry committees and Compliance on company-wide projects regarding various regulatory issues
  • Assists in evaluating overall Compliance Risk factors
  • Assists with regulatory examinations, corporate audits, and Internal audits
  • Assists with various regulatory required filings
  • Provide mutual fund compliance related training
  • May be required to perform other duties as assigned
  • Qualifications
  • 10+ years of experience in investment compliance role with a focus on the Investment Company Act
  • Bachelor's degree in business or related field, or equivalent education and experience
  • Strong knowledge of mutual fund compliance practices, rules, and regulations with emphasis on the Investment Company Act and Investment Advisers Act
  • Advanced understanding of '40 Act, Advisers Act, ETF, UCITS, and NFA regulations and industry best practices.
  • In depth working knowledge of Derivative and Fixed Income products
  • Proven ability to prepare and administer mutual fund compliance policies and procedures
  • Thorough understanding of compliance issues affecting mutual funds
  • Ability to work independently to achieve results while fostering strong relationships and influencing others
  • Strong organizational, communication, project management, and problem-solving skills
  • Ability to get results in a fast-past, results-oriented environment
  • Alternatives and private fund experience a plus

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