Chief Compliance Officer
Key Accountabilities :
- Conduct the trust’s annual compliance program review, report findings, propose procedural changes to management, and ensure timely implementation of changes.
- Identify and correct deficiencies in compliance processes and procedures that may lead to internal and / or regulatory non-compliance.
- Collaborate with portfolio managers, advisors, marketing, and operations to resolve compliance issues or provide recommendations.
- Perform compliance monitoring test work over the funds’ investment adviser(s) in an oversight capacity for assigned trusts, including on-site due diligence visits.
Focus areas include portfolio compliance, best execution, proxy voting, liquidity, and soft dollars.
- Execute compliance monitoring test work on behalf of the trust, including market timing, code of ethics, compliance with trust procedures, and annual testing and reporting.
- Conduct periodic testing pertaining to compliance programs and related policies and procedures of service providers.
- Participate in risk management activities, monitor the effectiveness of internal departmental controls and procedures, and review results of regulatory examinations and internal or external audits or testing.
- Coordinate responses to SEC and other regulatory examinations and inquiries related to the organization, its fund clients, and their advisers.
- Assist in monitoring, reviewing, communicating, and implementing changes to federal securities laws, especially those requiring revisions to fund or service provider policies and procedures.
- Provide compliance consulting and other services for investment advisers and other entities as needed.
Education and Experience :
- Bachelor’s degree or equivalent.
- 10 years of experience in the mutual fund or investment advisory industry.
- 5 years of relevant industry experience in mutual fund or investment advisor compliance.
- CPA, CFA, law license, FINRA registration, and / or compliance certification preferred.
Knowledge :
- Strong knowledge and understanding of the Investment Company Act of 1940.
- Working knowledge of the Investment Advisers Act of 1940.
- Proficiency in Microsoft Office Suite and Adobe Acrobat.
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