Fund Administration Compliance Manager
About The Position
As a Fund Administration Compliance & Regulatory Manager, you will lead a team responsible for ensuring registered investment companies comply with regulatory requirements, prospectus limitations, internal policies, and client-specific guidelines. You will oversee daily compliance monitoring activities, regulatory reporting, issue resolution, and audit support while serving as a subject matter expert on registered fund compliance matters for exchange-traded fund (“ETF”), mutual fund, closed end fund and/or business development company clients. This role requires a strong understanding of the Investment Company Act of 1940, SEC reporting requirements, fund governance, and regulatory risk management. The ideal candidate will demonstrate leadership, technical expertise, and a commitment to maintaining a strong compliance culture while delivering exceptional client service. In Fund Administration, we value clients first and employees always. We take pride in doing the right thing each and every day in a fun, challenging and fulfilling environment. Our leadership and team mentors are committed to you, and we will provide you with an array of resources and teaching methodologies to help you succeed and grow as a financial professional and future leader.
Requirements
- Bachelor's degree in accounting, finance or related field
- CPA certified or candidate
- 10 or more years of experience in Mutual Fund Administration or related field, i.e., public accounting
- Two or more years of supervisory/managerial experience
Nice To Haves
- Demonstrated experience leading, supervising and developing professional staff
- Superior knowledge of legal, regulatory, and accounting principles affecting registered investment funds
- Advanced understanding of the Investment Company Act of 1940, Subchapter M of the Internal Revenue Code, and applicable state securities regulations
- Strong organizational skills with the ability to manage complex, long‑term projects
- Excellent written and verbal communication skills with significant client interaction
- Proficiency with Microsoft Office and standard PC applications
- Superior commitment to ethics, compliance, and internal control standards
Responsibilities
- Lead and manage a team responsible for monitoring compliance with regulatory requirements, prospectus restrictions, investment policies, and internal controls, including fund compliance programs, regulatory filings, and board reporting
- Serve as a primary point of contact for compliance-related client inquiries and escalations.
- Interpret regulatory requirements and provide guidance regarding SEC rules, Investment Company Act provisions, Subchapter M requirements, and other applicable regulations.
- Coordinate with Legal, Compliance, Fund Accounting, Financial Reporting, and external service providers to ensure regulatory obligations are met.
- Maintain documentation supporting compliance testing methodologies, procedures, and controls.
- Lead, mentor, and develop compliance professionals through coaching, performance management, and technical training.
- Evaluate existing procedures and implement process improvements to enhance efficiency and compliance
- Establish team priorities, allocate resources, and monitor workload distribution to ensure service-level commitments are achieved.
- Promote a culture of accountability, continuous improvement, and regulatory excellence.
- Provide technical guidance regarding new regulations, rule changes, and emerging compliance risks.
- Participate in department level initiatives, committees and working groups
- Execute strategies and drive change for the fund administration department and the entire business line
- Support business growth initiatives, including participation in new client or product activities
Benefits
- Healthcare (medical, dental, vision)
- Basic term and optional term life insurance
- Short-term and long-term disability
- Pregnancy disability and parental leave
- 401(k) and employer-funded retirement plan
- Paid vacation (from two to five weeks depending on salary grade and tenure)
- Up to 11 paid holiday opportunities
- Adoption assistance
- Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law
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What This Job Offers
Job Type
Full-time
Career Level
Senior
