Funds Compliance Associate/VP - Real-Time Oversight

Arrow Search Partners; Greenwich (CT); On-site; USD 150,000 - 175,000; Full time

Benefits offered by this job

Paid time off

Medical/dental/vision insurance

401(k)

Job summary

Arrow Search Partners seeks a Registered Funds Compliance Associate/VP for its Greenwich, CT office. The role emphasizes real-time monitoring of compliance for registered funds, private funds, and managed accounts, partnering with PMs and traders to provide timely guidance.

Requirements include 3–6 years in investment or trading compliance, a Bachelor’s degree, and strong knowledge of the 1940 Acts and UCITS; experience with Bloomberg/Aladdin is a plus.

Qualifications

• Bachelor’s degree required with 3–6 years in investment or trading compliance.
• Strong understanding of the Investment Advisers Act of 1940 and Investment Company Act of 1940.
• Experience with multiple asset classes and derivatives; knowledge of UCITS is a plus.
• Familiarity with guideline monitoring software and compliance systems.

Responsibilities

• Monitor adherence to registered products and client guidelines.
• Draft and analyze policies to respond to regulatory changes.
• Collaborate with Portfolio Managers and Traders to provide compliance guidance.
• Research and advise on applicable investment and trading laws.
• Implement real-time monitoring to identify and address issues.

Skills

Investment compliance

Regulatory guidance

Cross-functional collaboration

Analytical mindset

Education

Bachelor’s degree

Tools

Bloomberg

Aladdin

Charles River

Sentinel

Job description

Arrow Search Partners seeks a Registered Funds Compliance Associate/VP for its Greenwich, CT office. The role emphasizes real-time monitoring of compliance for registered funds, private funds, and managed accounts, partnering with PMs and traders to provide timely guidance.

Requirements include 3–6 years in investment or trading compliance, a Bachelor’s degree, and strong knowledge of the 1940 Acts and UCITS; experience with Bloomberg/Aladdin is a plus.