Job Description:
Assisting the Investment Compliance Team with periodic tasks that pertain to, but not limited, the Major Shareholder disclosures and Client On-boarding process. Using analytical skills, research skills, and teamwork to gain knowledge of regulatory requirements relating to investment compliance for both US and non-US jurisdictions. Any ad-hoc tasks and projects as required.
Key responsibilities:
- Prepare and research shareholder disclosure alerts investment guidelines, and other relevant reports.
- Review and comment on the current prospectus, statement of additional information, investment advisory agreement, and Declaration of Trust or Articles of Incorporation for each fund or account.
- Ensure funds and accounts comply with applicable rules and regulations. Keep abreast of same.
Key competencies Qualifications/Skills:
- Bachelor's Degree or equivalent work experience. 4+ years of investment management, financial services or industry-related compliance experience is preferred.
- At least 4 years of experience of major shareholder disclosures.
- Strong interpersonal, organizational, communication, customer service, team-working and problem-solving skills.
- Must be thorough, detail-oriented, persistent, self-motivated, and able to function with a high degree of independence and accuracy.
- Must be able to work on multiple projects while meeting competing deadlines.
- Demonstrated ability to work effectively with employees and outside parties at all organizational levels.
- An aptitude for analytical work and an interest in that work is necessary.
- Strong writing abilities.
- Must be proficient in MS Office (Outlook, Word, Excel, PowerPoint) and able to develop proficiency in internal systems as required to perform the duties of this position.
- Must be able to conduct research and to utilize applicable tools
