This job ad has been posted over 40 days ago...
Marketing Review Compliance Analyst
at Compliance Search Group in New York, NY
This position requires excellent communication, organizational and writing skills to support the mutual fund business (open-end, closed-end and sub-advised funds) with paralegal and administrative functions.
ESSENTIAL DUTIES AND RESPONSIBILITIES:
• Oversight and review of advertising and marketing materials for mutual fund business, including coordinate filing and review process with FINRA
• Management of distribution agreements for mutual fund business
• Coordinate with insurance broker on insurance renewal for mutual fund business, including completing application and filing of fidelity bond with the SEC
• Assist with annual review and renewal of credit facilities for mutual fund business
• Coordinate with proxy solicitors on voting matters for fund shareholder meetings; prepare materials for and attend fund shareholder meetings
• Oversight of legal/compliance service provider relationships
• Recordkeeping, including electronic and paper document and file management; conduct internal fund audits and ensure maintenance of all fund files, minute books and follow-up items related to board and shareholder meetings
• Oversight of class action service for mutual fund business
• Assist with various regulatory filings for mutual fund business
• Compile and discuss with supervisors recent regulatory developments or relevant industry issues
• Assist on department or firm projects as requested; assist colleagues or directors with special assignments
• Work closely with and assist other members of the legal/compliance department
QUALIFICATIONS:
• College degree required;
• Strong knowledge of Investment Company Act of 1940, Investment Advisers Act of 1940 and Security Act of 1933
• Law firm background or mutual fund legal or compliance background is strongly preferred.
• Excellent oral, analytical, organizational and writing skills are required.
• MS Word and Excel are required.
To apply please submit your resume to Michael Lane - MLane@ComplianceSearch.com
ESSENTIAL DUTIES AND RESPONSIBILITIES:
• Oversight and review of advertising and marketing materials for mutual fund business, including coordinate filing and review process with FINRA
• Management of distribution agreements for mutual fund business
• Coordinate with insurance broker on insurance renewal for mutual fund business, including completing application and filing of fidelity bond with the SEC
• Assist with annual review and renewal of credit facilities for mutual fund business
• Coordinate with proxy solicitors on voting matters for fund shareholder meetings; prepare materials for and attend fund shareholder meetings
• Oversight of legal/compliance service provider relationships
• Recordkeeping, including electronic and paper document and file management; conduct internal fund audits and ensure maintenance of all fund files, minute books and follow-up items related to board and shareholder meetings
• Oversight of class action service for mutual fund business
• Assist with various regulatory filings for mutual fund business
• Compile and discuss with supervisors recent regulatory developments or relevant industry issues
• Assist on department or firm projects as requested; assist colleagues or directors with special assignments
• Work closely with and assist other members of the legal/compliance department
QUALIFICATIONS:
• College degree required;
• Strong knowledge of Investment Company Act of 1940, Investment Advisers Act of 1940 and Security Act of 1933
• Law firm background or mutual fund legal or compliance background is strongly preferred.
• Excellent oral, analytical, organizational and writing skills are required.
• MS Word and Excel are required.
To apply please submit your resume to Michael Lane - MLane@ComplianceSearch.com
Published at 06-07-2010
Viewed: 19 times
Viewed: 19 times