Senior Investment Compliance Analyst — Hybrid

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

Benefits offered by this job

Medical, Dental, Vision Insurance

401(k) Plan

Paid Time Off

Job summary

Equitable is seeking a Senior Investment Compliance Analyst in New York, NY to oversee 1940 Act fund compliance, develop and implement rules, and coordinate with internal teams and external advisers. The role supports launches, ongoing compliance, and regulatory filings.

The position offers a flexible hybrid work environment with on-site presence 2–3 days per week and a comprehensive benefits package, including medical, dental, vision, 401(k), and PTO.

Qualifications

• Bachelors Degree
• 5+ years of 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 supporting 1940 Act fund launches, ongoing fund compliance, testing, and/or disclosures
• Knowledge of valuation, liquidity, affiliation, portfolio guidelines, and 1940 Act fund governance

Responsibilities

• Analyze investment guidelines of 1940 Act funds and create corresponding 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 making appropriate adjustments
• Ensure compliance with prospectus guidelines, regulatory requirements and applicable EIM policies and procedures relating to 1940 Act funds
• Collaborate with internal stakeholders and external vendors/sub-advisers
• Assist in development of the compliance program for 1940 Act funds, including implementation of new regulations
• Assist with regulatory filings, annual compliance reviews and testing and applicable board reporting obligations
• Responsible for the investigation, resolution and remediation of compliance errors in coordination with internal and external stakeholders
• Assist with the ongoing compliance and risk management requirements of the funds’ Derivatives Risk Management Program
• Participate in special projects and strategic initiatives

Skills

Accuracy and Attention to Detail

Communicating Complex Concepts

Managing Multiple Priorities

Securities Laws and Regulations (SLR)

Education

Bachelor's Degree

Job description

Equitable is seeking a Senior Investment Compliance Analyst in New York, NY to oversee 1940 Act fund compliance, develop and implement rules, and coordinate with internal teams and external advisers. The role supports launches, ongoing compliance, and regulatory filings.

The position offers a flexible hybrid work environment with on-site presence 2–3 days per week and a comprehensive benefits package, including medical, dental, vision, 401(k), and PTO.