Post Trade Compliance Vice President

Job description

The Financial Administration – Post Trade Compliance (“PTC”) Senior Manager, Vice-President (“VP”) oversees completion of various compliance testing, liquidity risk management, derivatives monitoring and other procedures related to mutual fund and other investment company trading activity and investment holdings. The PTC VP is responsible to manage a team of compliance analysts responsible to perform and report on the results of this work, and coordinate with others within the organization to ensure timely, accurate delivery of the results of such procedures to investment company clients on a daily, monthly and other periodic basis. The PTC VP must maintain a comprehensive understanding of the regulations related to various investment company types, including authoritative guidance from the Securities and Exchange Commission (“SEC”) including the Investment Company Act of 1940, the Internal Revenue Service (“IRS”) including Sub Chapter M, fund-specific investment restrictions as described in fund offering documents such as SEC Form N-1A, and other sources. In addition, the PTC VP is responsible for training efforts within the PTC team, to interact with compliance vendors as needed,...