Please give us some details about the role you want to fill and let us know why you think our client might be the perfect candidate for you.
What happens next?
Our Job Search Specialist Mark Beltran will facilitate the next steps:
Mark will let our client know that you have shown an interest in their professional skills.
You will receive a full job application from our client and might want to offer them a formal job interview if you see the right potential in this candidate.
If you decide that you would like to offer the role to our client, we will help to make the next steps as smooth as possible.
You will be supported by our Licensed Immigration Advisers, who will take care of all visa related aspects of the process of offering our client a job.
Offering a job to our client will be straight forward.
Results-driven Senior Mutual Fund and Investment Compliance Analyst with a proven track record of leading regulatory filings and ensuring compliance with federal regulations for multiple investment entities. Possessing a unique blend of expertise in legal and regulatory documentation, cross-functional collaboration, and process optimization, dedicated to maintaining high standards of compliance and legal integrity in the financial services industry. With a keen eye for industry trends and a commitment to accuracy and efficiency, consistently delivers impactful results. With over 5 years of experience, I am eager to bring expertise to a forward-thinking team.
Regulatory Compliance: In-depth knowledge of SEC guidelines and federal regulations, with a successful track record in managing compliance for investment products and services.
Document Drafting and Review: Expertise in drafting, reviewing, and editing legal agreements, shareholder reports, and board materials, ensuring compliance and accuracy across multiple entities.
Project Management: Strong ability to organize, prioritize, and lead complex projects under tight deadlines, demonstrated in managing internal procedure reviews and regulatory filings for company Fund Advisors and related entities.
Software Proficiency: Advanced proficiency in Microsoft Office, Adobe, and Macintosh systems, with hands-on experience in creating and maintaining regulatory documentation and procedural workflows.
Customer Service & Training: Strong customer service skills, supported by providing product expertise in fixed and variable annuities and leading training initiatives to support cross-departmental needs.
Senior Mutual Fund & Investment Compliance Analyst
Lead regulatory filings that support the company Fund Advisors, Select Fund Trusts, and Separate Accounts by collaborating with compliance, legal, and accounting professionals. Manage policies and procedures for supported entities. Complete internal procedure reviews to ensure compliance with federal regulations.
Paralegal
Managed class action litigation for funds by reviewing new cases, drafting agreements, and organizing document retention. Researched, drafted, and edited regulatory documentation, board materials, legal agreements, shareholder reports and other documentation.
Mutual Fun Investment Advisor Compliance Coordinator
Created, developed, and revised regulatory documentation for the registered investment companies pursuant to SEC guidelines. Researched, drafted, and edited board materials, legal agreements, shareholder reports and other documentation.
Senior Annuity Product Specialist
Provided quality customer service through extensive knowledge of fixed and variable annuity products. Received two promotions during the first year and a half of employment. Supported other departments through training, projects, and resource sharing.
Bachelors Degree in Arts
Specialisations: International Management & Business Leadership, Western European Studies
Paralegal Certification
