Part - time Financial Adviser providing financial advice and support in South Africa. Offering financial solutions based on existing networks and maintaining client relationships.
MA
Hybrid Compliance Consultant – Mutual Fund, Investment Advisory Compliance
Posted last month
About the role
- Compliance Consultant overseeing regulatory compliance for closed-end funds and private equity at MassMutual. Engaging with legal, operations, and investment management teams for compliance oversight.
Responsibilities
- Administration and oversight of policies and procedures governing the operations of the MassMutual Access Funds, including around valuation procedures and the tender offer process
- Provide compliance and regulatory advice and guidance to the Head of Investment Management Alternatives Product, Business Operations Manager, and others supporting the MassMutual Access Funds
- Management of the Access Funds’ sub-adviser compliance oversight program: Develop thorough knowledge of the compliance framework and practices for overseeing the Funds’ sub-adviser, including compliance with affiliated transaction exemptive orders under Section 17(d)
- Review, assess, and monitor changes to the sub-adviser’s policies and procedures
- Report on the sub-adviser’s compliance with applicable policies and procedures pertaining to management of the MassMutual Access Funds
- Provide compliance oversight with respect to certain third-party service providers, including the Access Funds’ custodian
- Assist in the preparation of Rule 38a-1 annual reports
- Assist in the preparation of quarterly compliance reports for the MassMutual Access Funds Board of Trustees
- Oversee the monitoring of portfolio compliance for the MassMutual Access Funds
- Provide information and responses in connection with the annual advisory contract 15(c) renewal process
- Perform testing and compliance oversight to ensure compliance with exemptive orders and other regulatory requirements
Requirements
- Bachelor’s degree
- 3+ years of experience in a regulatory compliance, legal, risk, or related function, ideally within the asset management or broader securities industry
- Knowledge of closed-end fund and private equity investment structures
- Strong analytical skills, with the ability to effectively identify, communicate, and address potential issues
- Proficient with Microsoft Office programs and at least some exposure to data base and data visualization software
- Robust organizational skills and attention to detail, with the ability to manage diverse projects and assignments in a timely and quality manner in a complex work environment
- Strong communication and interpersonal skills, with the ability to build rapport with third-party service providers and work across internal business groups in a confident and constructive manner, as well as the ability to draft well-written due diligence reports
Benefits
- Health insurance
- 401(k) matching
- Flexible work hours
- Paid time off
- Professional development opportunities
Job title
Job type
Experience level
Salary
Degree requirement
Location requirements
Commissioned Financial Adviser at Old Mutual addressing customer financial needs and providing financial advice in South Africa. Responsible for expanding product sales with existing customers and new business.
Commissioned Financial Adviser at Old Mutual focusing on financial needs of customers in South Africa. Responsible for sales, customer relationships, and implementing financial plans.
Part Time Financial Adviser offering financial advice while retaining existing role, based in South Africa. Flexible role for those looking to supplement income with financial consultations.
Financial Adviser providing financial consultation and sales expertise at Old Mutual. Building client relationships while achieving sales targets in the dynamic financial services industry.
Intern assisting in the analysis of investment opportunities within private equity and credit at Cercano Management. Engaging in research and financial modeling tasks under mentorship.
Commissioned Financial Adviser assisting customers in achieving financial goals by providing advice and solutions. Expanding sales of financial products and engaging with existing customers.
Financial Adviser role offering financial advice and solutions to customers in South Africa. Focusing on customer needs to expand business and support financial goals.
Financial Adviser role providing exceptional financial advice and quality service to customers at Old Mutual. Helping clients achieve their financial goals and manage their investments.
Financial Adviser providing services and advice to clients in the South African financial space. Building client relationships and achieving sales targets while complying with industry standards.