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Investment Management Attorney And Chief Compliance Officer
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Full-time
- Specifically, the role will serve as Chief Compliance Officer for a closed-end fund multiple trust series (Trust) and as a member of the Regulatory Administration team supporting closed-end funds, as well as open-end funds and ETFs.
- Candidates will ideally have at least five years of experience practicing with a law firm, closed-end, mutual fund or ETF complex, fund servicing organization, investment advisory firm, or applicable regulatory agency dealing with the Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, and related rules, regulations, guidance, and practices.
- Compliance oversight of service providers, including conducting site visits (on-site or virtually) to the Trust, specifically numerous independent investment advisers, Fund Services as Transfer Agent, Fund Administrator, and Fund Accountant, U.S. Bank as Custodian, and external parties such as Distributor(s) to the Funds;
- Acting as the Trust’s anti-money laundering (AML) Officer for their respective Trust
- Knowledge of closed-end fund laws and regulations, mutual fund and ETF knowledge a plus
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