Fund Compliance Specialist - Concord, United States - Larson Maddox

Description

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.