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New Jersey - Senior Compliance Associate
Refer job# 4XNC25385
 
Senior Compliance Associate
The candidate will be part of a team responsible for maintaining compliance oversight programs for company's proprietary mutual funds and their investment adviser and third-party money managers who manage assets on behalf of company's corporate benefit funding and investments' departments. Will assist with the monitoring and testing of the compliance policies and procedures of the compliance programs for company's proprietary mutual funds and their investment adviser. Essential duties include: taking a primary role for among other things, overseeing the compliance programs of the assigned outside money managers, conducting ongoing due diligence and monitoring and testing, as described above, documenting control assessments based upon due diligence findings, and drafting reports to be delivered to company's Outside Investment Manager Review Board. Take on a lead role in working with compliance, legal and trading personnel at the outside money managers related to a full panoply of compliance and regulatory issues and will need to have excellent communication skills. Report to the Director, Compliance. Oversee the compliance programs of the Subadvisers to company's proprietary mutual funds (20-30 Subadvisers), the funds' service providers, and the third-party money managers hired by company's corporate benefit funding and investments departments. Review and update compliance policies and procedures. Prepare reports detailing findings and make assessments of due diligence efforts and ensure that changes that need to addressed from findings have been implemented.

The candidate should preferably have J.D. degree or MBA. Must have 5+ years of mutual fund and investment adviser regulatory compliance experience with an asset management firm OR experience as an SEC examiner with investment adviser or investment company exam experience. Must have substantive knowledge about the regulatory requirements of the asset management industry and relationship management skills to work with internal business partners (Fund Administration, Investment Analysis, and Legal) and the outside organizations. Should have regulatory experience with the Investment Company Act of 1940 and Investment Adviser Act of 1940. Must have demonstrated ability to read/interpret complex subjects including applicable regulations under the Investment Company Act of 1940 and Investment Advisers Act of 1940. Should have experience with implementing SEC Rules 38a-1 and 206(4)-7. Must have knowledge of mutual fund investment strategies and mutual fund and investment adviser operations.
 
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