Fund Compliance Analyst — US Policy & Risk

Vanguard; Charlotte (NC); Hybrid; USD 70,000 - 90,000; Full time

Job summary

A leading investment management company is seeking a Fund Compliance Analyst to oversee compliance inspections and provide guidance on regulatory matters. This role requires a minimum of five years of relevant experience and involves preparing reports, testing compliance policies, and researching potential compliance issues. The position is full-time and located in Charlotte, NC, offering a hybrid work model to enhance flexibility and collaboration.

Qualifications

• Minimum of five years related work experience in regulatory, compliance, investment, or auditing.
• Supervisory experience is preferred.

Responsibilities

• Oversee routine monitoring and inspections related to mutual funds and shareholder accounts.
• Prepare written inspection and assessment reports with recommendations.
• Test compliance policies for effectiveness.
• Research potential issues and recommend practices to reduce violations.
• Interact as a liaison to regulatory agencies.

Education

Undergraduate degree or equivalent combination of training and experience

Job description

A leading investment management company is seeking a Fund Compliance Analyst to oversee compliance inspections and provide guidance on regulatory matters. This role requires a minimum of five years of relevant experience and involves preparing reports, testing compliance policies, and researching potential compliance issues. The position is full-time and located in Charlotte, NC, offering a hybrid work model to enhance flexibility and collaboration.