Assistant Vice President - 1940's Act Compliance Advisory

  • Base salary, bonus and excellent benefits.
  • New York City, NY, USA
  • Festanstellung, Vollzeit
  • The Forum Group
  • 15 Okt 18

Our client, a global and well regarded wealth management firm, seeks to add a talented AVP level Compliance advisor. The US Index Investing business provides asset management services to approximately 34 SEC 40 Act ETFs and separately managed accounts that seek to track the returns of an underlying index. The ideal candidate will assist the Chief Compliance Officer of the Registered Investment Adviser (RIA) and Registered Investment Company (RIC) in administering all aspects of the compliance program in accordance with Rule 38a-1 and 206(4)-7.

Responsibilities will include: 

Monitor trading activity to ensure compliance with Prospectus, SAI and other regulatory investment and contractual guidelines.
• Interact with senior management, compliance, legal, finance and business partners on various matters that have compliance implications.
• Interact with portfolio managers to appropriately manage pre and post-trade alerts in the Order Management System.
• Provide timely and accurate advice and guidance to business partners in response to compliance queries.
• Prepare compliance reports for senior management and the Board of Trustees.
• Conduct the annual risk assessment of the US Traditional business.
• Assist with the preparation and review of various regulatory filings including but not limited to the ADV, N-SAR/CSR, Prospectus and SAI.
• Assess impact of new regulations and establish policies and procedures to ensure compliance.
• Provide support to Head of the Service Provider Oversight who oversees the ongoing due diligence of the RIC's and the RIA's service providers.


• Bachelor’s degree; JD or advanced degree a plus.
• 3 to 5 years of registered funds compliance experience or in the asset management practice of a law firm.
• Strong knowledge of the Investment Company Act of 1940 and Investment Advisers Act of 1940.
• Motivated and diligent with strong communication and writing skills.
• Ability to work on multiple projects in a fast paced environment.
• Exchange traded funds, capital markets and regulatory experience a plus.