Under the supervision of the Compliance Manager, the Compliance Team Leader performs daily monitoring of fund compliance utilizing Compliance Master system. In addition, leverages past experience and expertise to assist the Compliance Manager with reviewing daily and periodic quarterly compliance reports and in supervising/leading, training, mentoring compliance analysts.
- Monitor compliance requirements for funds daily utilizing Charles River Developments ComplianceMaster system. Take proactive steps to communicate any compliance issues contained in the reports and to develop resolutions of such issues.
- Prepare monthly compliance reports and take proactive steps to communicate any compliance issues contained in the reports and to develop resolutions of such issues.
- Develop and maintain a working familiarity with applicable laws, regulation and interpretation governing the administration of mutual funds.
- Assist with the preparation and/or review of daily, weekly, monthly and quarterly deliverables including Quarterly Board Reports.
- Perform special projects as assigned by the Fund Administration Compliance Manager.
- Maintain a strong working familiarity with Charles River Developments ComplianceMaster system.
- Assist the Fund Administration Compliance Manager in developing ways to enhance and automate the compliance function for areas that are manual.
- Assist Compliance Analyst with troubleshooting systems issues for domestic and global offices.
- Assist Compliance Business Analyst with ComplianceMaster rule-writing.
- Assist Compliance Business Analyst with troubleshooting system issues for Boston, Dublin, Luxembourg, and London.
- Develop and maintain a strong client service relationship with clients.
- Assist with the completion of client conversions.
- Participate in the interview and selection process for job applicants, and ensure the training and development of new staff.
- Conduct annual performance appraisals for direct reports and provide regular feedback based on previously agreed upon goals for direct reports.
- Oversee workflow and assignment of work to direct reports.
- Minimum 5 years of relevant experience
- 4 to 6 years mutual fund industry experience included a minimum 2 to 4 years in a compliance oriented role.
- Highly organized, detail oriented, self-motivated, capable of monitoring and completing a variety of projects simultaneously.
- Ability to keep abreast of regulatory changes effecting funds.
- Familiarity of offshore governing rules, i.e. UCITS.
- Strong oral and written English communication skills.
- Ability to work in a potentially high pressure, client driven environment.
- Higher Education level: BA or equivalent.
- Compliance Master Systems experience.
- Bloomberg experience.
What we offer:
- A collaborative environment that enables you to step outside your role to add value wherever you can
- Direct access to clients, information and experts across all business areas around the world
- Opportunities to grow your expertise, take on new challenges, and reinvent yourself — without leaving the firm
- A culture of inclusion that values each employee’s unique perspective
- High-quality benefits program emphasizing good health, financial security, and peace of mind
- Rewarding work with the flexibility to enjoy personal and family experiences at every career stage
- Volunteer opportunities to give back to your community and help transform the lives of others