Compliance Specialist - Concord, United States - Larson Maddox

Larson Maddox Concord, United States

2 weeks ago

Full time

Description

We have a current opportunity for a Fund Compliance Specialist on a permanent basis. The position will be based in Concord, CA. For further information about this position please apply.

Responsibilities:

Assist in the development and execution of the compliance program for the Funds, collaborating with various departments, as well as vendors, outside counsel, and sub-advisors.
Support the ongoing implementation and execution of the Funds' risk assessment and testing program, including conducting compliance testing, documenting and presenting results, and identifying enhancements and remedial actions.
Aid in the preparation of materials for mutual fund board meetings and electronic board books.
Review compliance exception reports and maintain documentation of resolution.
Assist in preparing materials for the annual renewal process of advisory, sub-advisory, and service provider agreements.
Contribute to compliance projects and firm-wide strategic initiatives, taking proactive steps to identify and address new or changing regulations.

Knowledge, Skills, Abilities:

General knowledge of the securities industry is preferred.
Demonstrates ethics and integrity, aligning with core values and holding others accountable.
Collaborates effectively with team members across the organization.
Produces high-quality, accurate work and possesses strong analytical skills.
Exceptional organizational skills, including effective prioritization, follow-up, and meeting deadlines.
Exemplary oral and written communication skills for interactions with internal stakeholders, external auditors, legal counsel, and other service providers.
Proficiency with Microsoft Suite (Word, Excel, PowerPoint).

Education & Experience:

Bachelor's degree required, preferably in Accounting, Finance, or Economics, or equivalent experience.

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