Compliance & Operational Risk Specialist responsible for mitigating legal, compliance, and reputational risks at Bank of America. Managing Material Non - Public Information and supporting various business functions.
About the role
- Senior Compliance Officer managing investment company compliance programs ensuring adherence to laws and regulations. Preparing reports for the Fund Board and conducting compliance risk assessments.
Responsibilities
- Oversees broader planning for the investment company compliance program
- Manages large projects and processes to help monitor Fund compliance
- Identifies, investigates, and reports compliance risks
- Prepares quarterly communications to the Fund Board
- Conducts complex investigations in response to complaints
- Reviews and approves reports on the results of compliance initiatives
Requirements
- 5+ years of Mutual Fund Compliance experience required
- University degree in Finance, Business or other business-related field
- Overall understanding of mutual funds (open-end, closed-end, and interval), types of mutual funds (Equity, Municipal Fixed Income, Public Real Assets, Public Real Estate, Taxable Fixed Income), and exchange-traded funds (ETFs).
- Extensive knowledge of the Investment Company Act of 1940
Benefits
- Competitive salary
- Health insurance
- Superior retirement program
- Flexible work arrangements
- Paid time off
- Professional development opportunities
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