Director of Fund Compliance

Company: Fanning Personnel
Location: Boston
Posted on: November 6, 2024

Job Description:

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Director of Fund Compliance



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6931LT



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Investment Management



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Permanent



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Boston - MA



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Dec 1 2022 12:00:00:000AM



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Jan 5 2023 12:00:00:000AM



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Boston investment manager is seeking a Director of Fund Compliance to join their growing firm! The Director of Fund Compliance provides mutual fund compliance support to the Legal and Compliance Department. The position is responsible for developing, assessing, drafting, and maintaining compliance policies and procedures, developing, coordinating, and performing compliance testing of key processes and service providers in support of the firm. In addition, this position is responsible for developing forensic monitors to drive testing efforts; developing a full understanding of the firm's structure, offerings, operations, and compliance activities; and handling activities related to certain fund governance activities. This individual will also work cooperatively with other department personnel to provide supplemental/back-up support when needed and will be responsible for managing special projects as assigned. Position Responsibilities:

• Develop and conduct periodic compliance reviews, including participation in due diligence of sub-advisers and key service providers of the Funds.
• Support the efforts of the Mutual Funds Chief Compliance Officer in managing, revising, and updating compliance program.
• Provide guidance in addressing organizational changes and business initiatives and regulatory developments relative to registered investment company compliance.
• Recommend compliance policies and procedures resulting from regulatory developments and business initiatives.
• Develop/update policies and procedures and compliance manual.
• Analyze and implement new regulatory requirements.
• Conduct periodic training on policies, trends, and regulations with respect to advisory compliance matters.
• Coordinate and assist registered investment adviser and broker-dealer compliance personnel on matters relating to registration, licensing, and supervisory programs and procedures.
  
  
  
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  Position Qualifications:
  • 7+ years of relevant compliance and/or relevant financial service experience preferred.
  • Bachelor Degree required
  • Strong familiarity with investment company, investment adviser securities trading and monitoring requirements, performance, and advertising standards with prior experience in a regulatory, SRO or audit function desired.
  • Strong interpersonal skills, problem solving and analytical capabilities, strong detail orientation, demonstrated ability to influence, collaborate, negotiate, and solve problems with business partners.
  • Excellent writing skills, including experience writing procedures and policy documents and strong verbal communication and presentation skills required.
  • Ability to manage multiple priorities concurrently with strong project management skills.
  • FINRA Series 7, 24, 63, 65 preferred
    
    
    
    
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    7
    
    
    
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    For more information contact: Lynn Tyburski (617)728-4100 - lynn@fanning-boston.com
    
    
    #J-18808-Ljbffr

Keywords: Fanning Personnel, Warwick , Director of Fund Compliance, Executive , Boston, Rhode Island