Senior Investment Compliance Analyst (HYBRID)

Equitable•New York, NY

4d•$130,000 - $160,000•Hybrid

About The Position

Equitable is seeking a Senior Investment Compliance Analyst to join the Equitable Investment Management (EIM) Portfolio Compliance team. The team oversees compliance with investment guidelines and regulatory requirements for EIM’s registered mutual funds and private funds. Its work supports product development and launches, daily compliance testing, regulatory implementation, and reporting to fund boards. The analyst will support compliance for 1940 Act funds by analyzing investment guidelines, creating and maintaining corresponding compliance rules, and ensuring compliance with prospectus guidelines, regulatory requirements, and applicable EIM policies and procedures. The role also supports fund launches, compliance-program development, regulatory filings, annual reviews and testing, board reporting, and the funds’ Derivatives Risk Management Program. It involves investigating and remediating compliance errors in coordination with internal and external stakeholders, as well as participating in special projects and strategic initiatives. The position is based in Equitable’s New York, NY office and follows a hybrid schedule, with an on-site presence 2–3 days per week. The base salary range is $130,000–$160,000. Eligible employees may receive performance-based compensation, including salary increases, spot bonuses, and short-term incentive compensation. Benefits include medical, dental, vision, a 401(k) plan, and paid time off.

Requirements

Bachelor’s degree.
At least 5 years of portfolio compliance experience.
Established knowledge of the Investment Company Act of 1940 and Investment Advisers Act of 1940.
Experience overseeing a compliance system that monitors post-trade activity, including escalation and resolution of issues.
Experience supporting 1940 Act fund launches, ongoing fund compliance, testing, and/or disclosures.
Knowledge of valuation, liquidity, affiliation, portfolio guidelines, and 1940 Act fund governance.
Accuracy and attention to detail.
Ability to communicate complex concepts clearly and appropriately for the audience.
Ability to manage multiple priorities and allocate time effectively.
Knowledge of securities laws and regulations and the ability to comply with relevant requirements.

Nice To Haves

Experience with sub-advised mutual funds, fund-of-funds, and multi-advised fund structures.
Developed analytical, organizational, and critical-thinking skills.
Demonstrated ability to manage multiple priorities, evaluate complex information, and deliver accurate, high-quality results.

Responsibilities

Analyze investment guidelines of 1940 Act funds and create corresponding compliance rules.
Support new fund launches through implementation of compliance rules.
Update compliance rules based on changes in prospectus disclosures and investment guidelines.
Troubleshoot coding issues and make appropriate adjustments.
Ensure compliance with prospectus guidelines, regulatory requirements, and applicable EIM policies and procedures relating to 1940 Act funds.
Collaborate with internal stakeholders and external vendors and sub-advisers.
Assist in developing the compliance program for 1940 Act funds, including implementing new regulations.
Assist with regulatory filings, annual compliance reviews and testing, and applicable board reporting obligations.
Investigate, resolve, and remediate compliance errors in coordination with internal and external stakeholders.
Assist with ongoing compliance and risk management requirements of the funds’ Derivatives Risk Management Program.
Participate in special projects and strategic initiatives.