Senior Investment Compliance Analyst (HYBRID)

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

Primary Location

UNITED STATES-NY-New York

Organization

Equitable

Schedule

Full-time

About the Role

At Equitable, we help clients secure their financial well-being so they can pursue long and fulfilling lives - a missionwe’vehoned since 1859.

The Equitable Law Department’s Mission is to Serve as Equitable’s trusted counsel, empowering Equitable to pursue its noble purpose by upholding the highest standards, forging collaborative relationships and delivering creative solutions.

At Equitable we have reimagined how we want to work and are guided by principles of inclusivity, flexibility, and connection. Come join us and enjoy working for a leading financial services company with an amazing and diverse culture! We offer a flexible hybrid office/remote work environment, and this position is located in our New York, NY office.

Equitable is looking for a Senior Investment Compliance Analyst to join our team. The Equitable Investment Management (EIM) Portfolio Compliance team oversees compliance with investment guidelines and regulatory requirements on behalf of EIM’s registered mutual funds and private funds. The team supports product development, new product launch, daily compliance testing, regulatory implementation and reporting to the funds’ board of directors.

What You’ll Be Doing

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

This position offers a hybrid work schedule, with an on–site presence of 2–3 days per week combining flexibility with team collaboration.

The base salary range for this position is $130,000 - $160,000. Actual base salaries vary based on skills, experience, and geographical location. In addition to base pay, Equitable provides compensation to reward performance with base salary increases, spot bonuses, and short-term incentive compensation opportunities. Eligibility for these programs depends on level and functional area of responsibility.

For eligible employees, Equitable provides a full range of benefits. This includes medical, dental, vision, a 401(k) plan, and paid time off. For detailed descriptions of these benefits, please reference the link below.

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

Preferred Qualifications:

Experience with sub-advised mutual funds, fund-of-funds and multi-advised fund structures

Demonstrated attention to detail combined with developed analytical, organizational, and critical-thinking skills, with a proven ability to manage multiple priorities, evaluate complex information, and deliver high-quality results with accuracy and precision

Skills

Accuracy and Attention to Detail: Understand the necessity and value of accuracy; ability to complete tasks with high-level of precision.

Communicating Complex Concepts: Knowledge of effective presentation tools and techniques to ensure clear understanding; ability to use summarization and simplification techniques to explain complex technical concepts in simple, clear language appropriate to the audience.

Managing Multiple Priorities: Knowledge of effective self-management practices; ability to manage multiple concurrent objectives, projects, groups, or activities, making effective judgments as to prioritizing and time allocation.

Securities Laws and Regulations (SLR) Compliance: Knowledge of securities laws and regulations; ability to find out and comply with relevant laws and regulations during business activities.

About Equitable

At Equitable, we’re a team committed to helping our clients secure their financial well-being so that they can pursue long and fulfilling lives.

We turn challenges into opportunities by thinking, working, and leading differently – where everyone is a leader. We encourage every employee to leveragetheir unique talents to become a force for good at Equitable and in their local communities.

We are continuously investing in our people by offering growth, internal mobility, comprehensive compensation and benefits to support overall well-being, flexibility, and a culture of collaboration and teamwork.

We are looking for talented, dedicated, purposeful people who want to make an impact. Join Equitable and pursue a career with purpose.

Equitable is committed to providing equal employment opportunities to our employees, applicants and candidates based on individual qualifications, without regard to race, color, religion, gender, gender identity and expression, age, national origin, mental or physical disabilities, sexual orientation, veteran status, genetic information or any other class protected by federal, state and local laws.

NOTE: Equitableparticipatesin the E-Verify program.

If reasonable accommodation is needed to participate in the job application or interview process or to perform the essential job functions of this position, please contact Human Resources at [phone] or email us at [e-mail] .