Senior Investment Compliance Analyst - 1940 Act Funds

Equitable Advisors; New York (NY); Hybrid; USD 130,000 - 160,000; Full time

Benefits offered by this job

Medical insurance

401(k) plan

Paid time off

Job summary

Equitable seeks a Senior Investment Compliance Analyst in New York, NY to oversee 1940 Act fund compliance, develop rules, and support fund launches. The role partners with internal teams and external sub-advisers to uphold regulatory standards.

The position offers a hybrid schedule with 2–3 days on-site and a comprehensive benefits package, including medical, dental, vision, and 401(k). Candidates should have 5+ years in portfolio compliance and deep knowledge of 1940 Act governance.

Qualifications

• 5+ years portfolio compliance experience
• Established knowledge of the Investment Company Act of 1940 and Investment Advisers Act of 1940
• Oversight of the compliance system monitoring post-trade activity, including escalation and resolution of issues
• Experience with 1940 Act fund launches, ongoing fund compliance, testing, and disclosures
• Knowledge of valuation, liquidity, affiliation, portfolio guidelines, and 1940 Act fund governance
• Preferred Qualifications: experience with sub-advised mutual funds, fund-of-funds and multi-advised fund structures

Responsibilities

• Analyze investment guidelines of 1940 Act funds and create compliance rules
• Support new fund launches through implementation of compliance rules
• Update compliance rules based on changes in prospectus disclosures and investment guidelines
• Troubleshoot coding issues and make appropriate adjustments
• Ensure compliance with prospectus guidelines, regulatory requirements and EIM policies
• Collaborate with internal stakeholders and external vendors/sub-advisers
• Assist in development of the compliance program for 1940 Act funds including new regulations
• Assist with regulatory filings, annual compliance reviews and testing and board reporting obligations
• Investigate, resolve, and remediate compliance errors with internal/external stakeholders
• Support ongoing compliance and risk management of the funds’ Derivatives Risk Management Program
• Participate in special projects and strategic initiatives

Job description

Equitable seeks a Senior Investment Compliance Analyst in New York, NY to oversee 1940 Act fund compliance, develop rules, and support fund launches. The role partners with internal teams and external sub-advisers to uphold regulatory standards.

The position offers a hybrid schedule with 2–3 days on-site and a comprehensive benefits package, including medical, dental, vision, and 401(k). Candidates should have 5+ years in portfolio compliance and deep knowledge of 1940 Act governance.