The Lead Compliance Analyst supports sub-advisory oversight for approximately 27 subadvisers across mutual funds, ETFs, and CITs.
Responsibilities include ensuring compliance with investment policies, regulations, and policies, reviewing subadviser operations, managing compliance questionnaires, and preparing Board reports.
The role involves coordinating onboarding/offboarding, maintaining compliance documentation, supporting regulatory exams, and assisting with AI initiatives.
Qualifications include a bachelor’s degree, 5+ years of securities compliance experience, strong knowledge of securities laws, organizational skills, and proficiency in MS Office.
Preferred qualifications include understanding AI principles.
The role offers a salary range of $95,000-$100,000, with bonus potential, comprehensive benefits, and a focus on diversity and inclusion.