Compliance Testing (Mutual funds)


Investment Management Client

Office Status: On Site


  • Support the development and implementation of the U.S. Registered Funds compliance program, working closely with members of the Legal and Compliance Department to evaluate identified risks and adherence to policies and procedures by relevant business groups and service providers
  • Participate in the ongoing implementation and execution of the Fund’s risk assessment and testing program, including:
    • assessing key business processes and critical business risk and controls
    • developing and updating the Fund’s risk matrix
    • documenting a written testing plan and compliance testing procedures
    • executing testing of procedures and internal controls of critical business areas
    • evaluating, documenting and presenting results of test work
    • identifying enhancements and remedial actions required to address compliance observations
  • Assist with the oversight of the Fund’s service providers by executing the agreed upon diligence as determined by the Fund’s CCO and members of the Legal and Compliance department which includes:
    • Review of relevant service provider policies and procedures including material changes
    • Review of periodic certifications and annual due diligence questionnaires to identify issues for escalation and resolution
    • Execute surveillance to monitor key risks and controls related to Fund service providers
    • Monitor issues and document resolution for recordkeeping and reporting purposes
    • Assist in coordination meetings with business stakeholders that have “first line” responsibilities for service providers
  • Collect information to assist in the efficient preparation of quarterly, annual and periodic reporting to a Board of Independent Trustees
  • Work with members of various teams and departments including Legal and Operations to identify and address regulatory matters
  • Must take initiative in learning and applying new skills and regulations
  • Have a strong sense of integrity, behaving consistently with expressed values and ethical principles of the firm


  • Prior experience in ’40 Act products including ETFs, money market funds, closed end funds or target date funds will be considered favorably
  • Excellent communication and presentation skills including the ability to articulate clear ideas/strategies
  • Intelligent, bright, critical thinker, and a quick learner with the ability to assess a situation and identify issues for further action
  • Ability to balance regulatory and policy standards along with a practical business perspective
  • A highly motivated self-starter with the willingness to “roll up your sleeves” and identify opportunities for enhancement
  • Exceptional organizational skills; the ability to effectively prioritize tasks, follow up, produce consistently accurate work, and meet strict deadlines
  • Highly flexible, multi-task oriented: capable of changing directions based on business demands
  • Consensus builder and team player with demonstrated self-awareness, cultural skills, and sensitivities to work effectively in a global organization
  • Working knowledge of MS Office suite including Word and Excel


  • Bachelor’s degree or equivalent
  • 3-5 years of work experience focused on Registered ‘40 Act products, ideally at a major financial services firm or accounting firm working in compliance or audit; strong preference for Big 4 Risk Advisory experience
  • Strong attention to detail, analytical and issue-spotting skills
  • Ability to communicate clearly and effectively in a written and oral manner
  • Ability to work independently and be a strong team player
  • Substantial initiative, creativity and drive
  • Efficiently utilize tools such as Excel spreadsheets, macros, query tools, and external databases
  • Utilize effective time management skills to maintain a commitment to quality and attention to detail; ensure that all work is completed accurate and on time
  • General knowledge of regulatory requirements applicable to US investment managers and broker-dealers,  including the Investment Company Act of 1940 and Investment Advisers Act (knowledge of FINRA rules is a plus)
  • Strong background in fixed income, alternatives, derivatives, commodities and equity strategies offered in a variety of investment products including (i.e., open-end mutual funds, closed-end funds, ETFs, separate accounts and private funds)
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