Compliance Examiner

Federated Hermes; Pittsburgh (Allegheny County); Hybrid; USD 70,000 - 95,000; Full time

Benefits offered by this job

Competitive compensation

Parental leave

Volunteer day

Hybrid in-office schedule

Job summary

Federated Hermes is seeking a Compliance Examiner in its downtown Pittsburgh, PA Headquarters to develop and perform compliance monitoring and testing of policies governing investment advisory, portfolio management and sales activities.

The role requires a Bachelor’s degree or equivalent, 2+ years in a financial services or compliance setting, and proficiency with Windows and Microsoft Word/Excel. The position is hybrid with in-office work in Pittsburgh.

Qualifications

• Bachelor’s degree or equivalent in a relevant field; finance or compliance background preferred.
• Minimum 2 years of business experience; advanced degrees may substitute.
• Proficiency with Windows and Microsoft Word/Excel; basic regulatory knowledge.

Responsibilities

• Develop, implement and perform periodic compliance monitoring and testing of advisory, portfolio management and distribution activities.
• Report findings and deficiencies to Compliance Officers.

Skills

Windows OS

Microsoft Word

Microsoft Excel

Education

Bachelor’s degree or equivalent

MBA or JD may be accepted in lieu of experience

Tools

FINRA licenses (SIE, S7TO, S24, S66)

Job description

Federated Hermes Career Opportunity #9716

We have an exciting opportunity for a Compliance Examiner in our downtown Pittsburgh, PA Headquarters.

What You’ll Do

As a Compliance Examiner you will develop, implement and perform periodic compliance monitoring and testing of the policies and procedures governing investment advisory and investment portfolio management and/or sales, distribution and service activities, and report findings and deficiencies to Compliance Officers.

The Expertise We’re Looking For

• Bachelor’s degree or equivalent comparable business experience, including experience in financial services organizations in compliance, fund accounting, legal, audit or similar environment
• Minimum 2 years of business experience required; advanced degree (e.g. MBA or JD) may be accepted in lieu of experience; FINRA licenses (e.g. FINRA SIE, S7TO, S24, S66) may be accepted in lieu of experience
• Basic understanding of mutual fund and investment advisor process/regulations required
• Proficiency with Windows/PC operating system and Microsoft Word and Excel

Our Investment in You

We believe our employees are our most important asset! Therefore, we offer benefits programs designed to help you and your family thrive, training programs to advance your professional development and opportunities for you to give back to the community. Our offerings include:

• A competitive total compensation package, including bonus programs designed to recognize and incentivize our employees to do their best every day
• Time off programs including paid vacation, parental leave and a volunteer day to help you stay healthy and connected to the things that are important
• Opportunities to expand your professional network within the firm and the community through participation in programs such as the Women in Investing Employee Resource Business Group and the University Ambassador Program.
• Location: Pittsburgh, PA 15222 (hybrid in-office work schedule)

About Federated Hermes

At Federated Hermes, our goals are to help individuals invest and retire better, to help our clients achieve better risk-adjusted returns, and to contribute to the positive outcomes in the wider world. We pledge to always putting our clients first and to acting responsibly and transparently. Our commitment to active investment has enabled us to become a leading investment manager serving investors around the world.

We provide career opportunities that enable our employees to grow and meet their career aspirations while balancing the needs of their personal lives. We offer a collaborative environment that promotes doing things the right way and always with integrity, sharing ideas to drive positive change, and following through on our commitments. We are motivated by a higher purpose and always consider the impact of our work. We promote teamwork and foster a diverse, inclusive and respectful workplace where unique perspectives, ideas and experiences are recognized and appreciated for the contributions they bring.

Federated Hermes, Inc. offers a competitive salary and benefits package along with a professional environment.

Only those candidates in whom we have an interest will be contacted.

We are interested in qualified candidates who are eligible to work in the United States. However, we are not able to sponsor visas.

EOE – Including Disability / Vets

Federated Hermes is committed to providing equal employment opportunities in all aspects of employment to qualified individuals without regard to the following criteria: race, color, national origin, religion, sex, pregnancy, sexual orientation, gender identity or expression, mental or physical disability, age, familial or marital status, ancestry, military status, veteran status or genetic information as well as any other prohibited criteria under any local, state or federal law applicable to Federated Hermes. As part of the firm’s equal employment opportunity statement, Federated Hermes will also comply with applicable government contractor obligations, including ensuring veterans and qualified people with disabilities are considered for employment and promotional opportunities consistent with current federal, state and local laws and regulations. Federated Hermes will also make reasonable accommodations for the religious practices of beliefs of applicants and employees, as well as for mental health or physical disability needs.