Job Description

Consultant, Compliance
Job Number: 21-08101
Help drive change! Eclaro is looking for a Consultant, Compliance for our client in Chicago, IL
Eclaro’s client is a leading global bank stimulating change and innovation in the industry by offering top-notch financial products and services for a wide-range of clients worldwide. If you’re up to the challenge, then take a chance at this rewarding opportunity!
Position Overview:
  • This role will report into the Head of Sub-Advisory Due Diligence and will work closely with the Mutual Fund CCO to develop, administer, and update mutual fund compliance policies and procedures for the oversight of external sub-advisors to the registered funds
  • Assist in the development and administration of the multi-manager mutual fund compliance programs; help define and develop risk parameters, implement the program and review the final reports
  • Assist in the oversight of external sub-advisors' Rule 38a-1 annual reviews - perform testing and oversight of policies and procedures
  • Prepare written documentation of results for submission to the fund CCO/Head of Sub-Advisory Due Diligence
  • Organize, analyze, review, and prepare deliverables for quarterly board reporting, including review sub-adviser compliance reporting for inclusion in quarterly reporting
  • Liaise with management and different departments regarding special projects and regulatory initiatives; provide guidance and analysis of rules and/or firm policies, as appropriate
  • Partner with business, operations, and legal partners to administer mutual fund compliance responsibilities and to advise on regulatory risks and requirements
  • Coordinate or assist in regulatory examinations and/or audits and prepare information and responses to various requests
  • Manage ad hoc projects, as needed
  • Minimum of 5 years of investment related experience with registered funds
  • Strong familiarity with the Investment Company Act of 1940
  • Strong analytical and communication skills
If interested, you may contact:
Adrian Miranda
Adrian Miranda | LinkedIn
Equal Opportunity Employer: Eclaro values diversity and does not discriminate based on Race, Color, Religion, Sex, Sexual Orientation, Gender Identity, National Origin, Age, Genetic Information, Disability, Protected Veteran Status, or any other legally protected group status.

Application Instructions

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