Overview In this role you lead a team ensuring registered investment funds meet regulatory and internal standards. You'll oversee daily compliance monitoring, reporting, and issue resolution, acting as the subject matter expert for ETF, mutual fund, and related clients. You contribute to a culture of client focus, ethics, and continuous improvement while supporting business growth. This position offers leadership development and cross-functional collaboration in a dynamic funds environment.
Compensation / Benefits- Healthcare (medical, dental, vision)
- Life insurance
- Disability insurance
- Parental leave
- 401(k) and employer-funded retirement plan
- Paid vacation and holidays
Responsibilities- Lead and supervise a team to monitor regulatory requirements, prospectus restrictions, and internal controls
- Oversee regular compliance testing for mutual funds, ETFs, and other registered products
- Review and approve compliance reporting, exception reports, and monitoring results
- Identify, escalate, document, and resolve compliance exceptions and breaches
- Maintain documentation of testing methodologies and controls
- Provide training and guidance on regulatory changes to staff
- Evaluate procedures and implement process improvements to enhance efficiency
- Support new client or product activities as part of growth initiatives
Key requirements- Bachelor's degree in accounting, finance or related field
- CPA certified or candidate
- Nine or more years of experience in Mutual Fund Administration or related field (e.g., public accounting)
- Advanced knowledge of legal, regulatory, and accounting principles affecting registered investment funds
- Strong understanding of the Investment Company Act of 1940, Subchapter M of the IRC, and state securities regulations
- Experience managing and developing professional staff
- Strong organizational skills for managing complex, long-term projects
- Excellent written and verbal communication with significant client interaction
- Proficiency with Microsoft Office and standard PC applications
- Strong commitment to ethics, compliance, and internal control standards
- leadership
- communication
- ethics/compliance
- regulatory knowledge of mutual funds/ETFs
- compliance testing
- regulatory reporting
