Fund Compliance Analyst: Regulatory Oversight & Reporting

TEEMA Solutions Group; San Francisco (CA); On-site; USD 140,000 - 185,000; Full time

Job summary

A leading talent network for compliance roles is seeking a Fund Compliance Analyst to support fund operations and investment teams. This role involves monitoring compliance with internal policies, assisting in compliance program development, and ensuring adherence to regulatory requirements. Ideal candidates hold a Bachelor's degree in a relevant field and possess strong analytical and organizational skills. This position offers a collaborative environment working closely with legal and risk management teams.

Qualifications

• Understanding of fund compliance and regulatory frameworks.
• Familiarity with SEC, FINRA, CFTC regulations.
• Interest in fund compliance and regulatory monitoring.

Responsibilities

• Monitor fund operations for compliance with internal policies.
• Assist in developing and maintaining compliance programs.
• Review fund documentation for compliance adherence.
• Track regulatory filings and reporting deadlines.
• Conduct compliance testing and internal audits.
• Report compliance issues to senior management.
• Support regulatory reporting and audits.
• Maintain accurate records of compliance activities.

Skills

Strong analytical skills

Organizational skills

Detail-oriented

Clear communication skills

Ability to work with multiple stakeholders

Education

Bachelor’s degree in Finance, Economics, Law, Accounting, or related field

Tools

Excel

Compliance software

Job description

A leading talent network for compliance roles is seeking a Fund Compliance Analyst to support fund operations and investment teams. This role involves monitoring compliance with internal policies, assisting in compliance program development, and ensuring adherence to regulatory requirements. Ideal candidates hold a Bachelor's degree in a relevant field and possess strong analytical and organizational skills. This position offers a collaborative environment working closely with legal and risk management teams.