Registered Investment Advisor (RIA)

• Oversee Investment Adviser and Mutual Fund policy manual updates
• Monthly, quarterly and annual back-testing of policies and procedures
• Review marketing materials and website content
• Ongoing maintenance of books and records, including all applicable regulatory filings (13F, 13H, 13G/D, Form 3/4/5, ADVs)
• Oversee proxy voting process
• Assist with annual Compliance review
• Pre-clear and monitor employee personal trades, gifts and entertainment
• Prepare scheduled and ad hoc Retail Board reports. Assist with review of Retail Board meeting minutes
• Participate in Prospectus and Statement of Additional Information (SAI) updates
  

•    INVESTMENT COMPANY ACT OF 1940 Compliance experience
•    3 or more years of relevant work experience
•    Advanced experience in MS Office: Word, Excel, Outlook
•    Team-oriented with follow-through skills
•    Excellent communication (verbal/written) and business management skills
•    Experience with Bloomberg, preferred
•    Bachelors Degree

This is a full-time permanent position. In addition to salary,  the position will offer benefits that are available to all Company employees.

Competitive salary and benefits package Base Salary: Cash Bonus potential.

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If this sounds like the right job for you, you can use the button below to submit your resume. Please attach resume in Word format preferably or send email with it attached.