Investment Compliance - Manager
Core
Provide end-to-end support to investment company clients for timely preparation of financial statements, portfolio schedules, and mandatory regulatory reporting within stringent deadlines for audit and submission.
Role type
Manager, Investment Compliance & Financial Reporting
Builds
Regulatory filings (Form N-MFP, NQs), financial statements, portfolio schedules for mutual funds, hedge funds, and alternative assets.
Domain
Financial Services / Asset Management / Fund Administration
Required skills
Financial reporting expertise, regulatory compliance knowledge, staff management, risk management, process improvement, automation tool usage, cross-departmental coordination, technical accounting knowledge (US GAAP/IFRS), fund structure knowledge.
Preferred skills
CA/CPA/ACCA certification, 10-12+ years in Mutual Fund/Hedge Fund financial reporting, experience managing staff, knowledge of 40 Act funds and master-feeder structures.
Technologies
FundSuite, MCH, Macros
Responsibilities
Perform 1st, 2nd, and targeted reviews on client financial statements and regulatory forms; manage client relationships and ensure team deliverables; proactively manage business-level risk; oversee coordination with global offshoring partners; coach staff and conduct performance reviews; resolve accounting issues and auditor comments; draft task lists for offshoring partners.
Seniority
Manager, hands-on leadership with team management