This Lead Compliance Analyst supports asset management compliance, overseeing approximately 27 subadvisers across various funds and trusts.
Responsibilities include ensuring subadviser adherence to investment objectives, regulatory requirements, and internal policies; coordinating compliance questionnaires; assisting with onboarding/offboarding; preparing Board reports; maintaining policies; and supporting AI initiatives.
Ideal candidates have a bachelor’s degree, 5+ years of securities compliance experience, strong knowledge of securities laws, excellent organizational and communication skills, and proficiency in MS Office.
Preferred qualifications include understanding of AI principles.
Compensation ranges from $95,000 to $100,000 annually, with bonus potential. Benefits include health coverage, retirement plans, wellness programs, paid time off, and diversity initiatives.