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Reporting to the Investment Compliance Manager, and under the guidance and supervision of the Investment Compliance Manager and Chief Compliance Officer, monitor the First Investors fund portfolios and the activities of the funds’ portfolio managers, subadvisers and Access persons for compliance with the Firm’s policies and procedures and applicable securities laws and regulations and adherence to fund specific guidelines.
ESSENTIAL DUTIES AND RESPONSIBILITIES:
Daily review of fund trading to identify compliance concerns and violations.
Review and/or prepare compliance reports in accordance with departmental calendar to ensure and document that each investment portfolio is managed in accordance with the fund’s shareholder documents and the firm’s policies and procedures, and in compliance with applicable securities laws and regulations.
Assist in administering the Code of Ethics by preclearing, documenting and analyzing the personal securities trading activity of the firm’s Access Persons.
Perform due diligence oversight of the Funds’ subadvisers and other service providers.
Perform special audits and reviews as assigned for the annual compliance review and report.
Respond to inquiries from Access Persons, Portfolio Managers and subadvisers regarding compliance policies and procedures.
Assist in the maintenance and update of the firm’s compliance policies and procedures.
Attend and prepare minutes of various committee meetings.
Assist in the development and presentation of compliance training sessions.
Assist in the preparation of compliance reports to management and the Board of Trustees.
Participate as assigned in projects related to new regulatory initiatives.
Perform other tasks, such as maintaining compliance checklists and approved broker lists, as necessary, and maintaining departmental files.
Some travel required – between FIMCO offices and to fund service providers
EXPERIENCE AND BACKGROUND REQUIREMENTS:
Strong research, organizational and follow-up abilities
Superior written and verbal communication skills
Ability to work independently with minimal supervision
Attention to detail and accuracy
Self-starter / reliable
Knowledge of mutual fund industry/regulation a plus
Proficient in Microsoft Word, Excel and PowerPoint with accurate typing skills
WORK ENVIRONMENT: (Office, production, warehouse, etc.)
Company is an Equal Opportunity Employer
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