Our client is a leading global asset management firm with over 5 decades of investment experience headquartered in LA.
With over $230B AUM, their clients include many of the world's largest corporate and public pension plans, financial institutions, foundations, high net worth individuals and more.
Currently, they are seeking a Senior 1940 Act Compliance Officer to join their LA office.
Reporting to the firm's Global Chief Compliance Officer and will be responsible for managing and keeping current compliance programs and policies for two open-end mutual fund complexes with combined AUM in excess of $100 billion, exchange traded funds, and several close-end funds as well as addressing inquiries related to the Investment Company Act of 1940.
Responsibilities
- Manage and update internal compliance policies related to the Investment Company Act of 1940
- Manage and update internal compliance policies related to the Investment Company Act of 1940 and the Investment Advisers Act
- Handle and oversee all aspects of compliance as it relates to open and closed-end registered investment companies including, but not limited to, 38a-1 testing, board reporting, liquidity management, proxy voting, trading, allocation, pricing, valuation, cybersecurity, oversight of service providers, and custody.
- Address day to day issues and questions related to equity and fixed income trading, allocations, etc. from the trading desks and Investment Compliance
- Assist with investment guideline monitoring and ancillary issues or questions related to oversight of registered investment companies
- Review marketing presentations and communications consistent with regulatory rules and guidance
- Maintain current knowledge of regulatory changes
- Assist with regulatory examinations and audits
- Manage and update internal compliance policies related to the Investment Company Act of 1940 and the Investment Advisers Act
- Coordinate and assist with diligence of service providers supporting the registered funds
- Collaborate closely with in-house and external 40 Act counsel
- Participate in various corporate committees, as appropriate
Qualifications
- Bachelors degree, required
- 8+ years of relevant compliance experience
- Solid understanding of the securities industry and the regulatory requirements related to registered investment companies and the Investment Company Act of 1940, including, as needed, the Investment Advisers Act of 1940, the Securities Act of 1933, and the Securities Exchange Act of 1934 and the rules and regulations thereunder.
- Prior compliance experience with registered investment advisers, registered investment companies, and/or SEC or FINRA.
- JD is a plus but not required
- Proficiency in Bloomberg and other major software applications preferred
- Knowledge of CFTC rules and regulations as they relate to registered funds a plus
- Familiarity with exchange-traded funds and UCITS a plus
This is a hybrid opportunity based out of their Los Angeles office. Open to relocation.
Competitive compensation, benefits, bonus.
For more information on this role, or if you'd like to connect to discuss your next career move or hiring needs - please reach out: Kate Ellicott, Associate Director & Head of West Coast - k.ellicott@hamlynwilliams.com
