Risk & Compliance Analyst - Registered Funds

United States·Philadelphiamid

OtherRisk & Compliance Analyst

2 views0 saves0 applied

Apply Now

Quick Summary

Requirements Summary

Best in class Medical, Dental, and Vision plans with well-known carriers; Telehealth and Health Concierge services. Health, Dependent and C

Technical Tools

OtherRisk & Compliance Analyst

Job Description

The Risk & Compliance Analyst - Registered Funds supports the Head of US Registered Fund Compliance/Fund CCO (“Fund CCO”) to establish, maintain and implement a compliance program to meet the obligations of Rule 38a-1 of the 1940 Act for abrdn’s registered funds (open-end funds, closed-end funds and ETFs). The Registered Fund Risk & Compliance Analyst will report to the Fund CCO.

Responsibilities

~1 min read

→Support the Fund CCO to establish, maintain and implement a compliance program to meet the obligations of Rule 38a-1 of the 1940 Act for Aberdeen's registered funds (open-end, closed-end and ETFs).
→Take the lead, with the guidance and direction of the Fund CCO, to prepare 38a-1 quarterly and annual reports to be delivered to the respective registered fund boards.
→Maintain and update appropriate compliance documents, including Aberdeen's registered fund compliance manuals.
→Work with the Fund CCO to set, maintain and oversee an annual risk-based testing program for Aberdeen's registered funds. Perform certain tests when required.
→Track and analyze regulatory change and developments impacting Aberdeen's registered funds and suggest best practices related to registered fund compliance.
→Assist the Fund CCO to deliver trainings to registered funds to key stakeholders, including portfolio managers of Aberdeen's registered funds.
→Provide advice and guidance to the business on registered fund compliance matters, including with respect to new products and product changes.
→With the Fund CCO, present on compliance matters to independent fund directors.
→Assist the broader Risk & Compliance – Americas team with new hire on-boarding; personal dealing, G&E inquiries and other compliance maters.

Requirements

~1 min read

3-5 years working in compliance, with a focus on registered fund compliance
Strong fundamental understanding of the Investment Company Act of 1940
Demonstrated skill in stakeholder engagement and management;
Prior experience of working directly for or with a registered fund CCO preferred
Bachelors degree or higher

What We Offer

~1 min read

✓Best in class Medical, Dental, and Vision plans with well-known carriers; Telehealth and Health Concierge services.

✓Health, Dependent and Commuter Flexible Spending Plans.

✓Employer provided Life Insurance, Critical Illness Insurance, Short Term and Long-Term disability with additional optional coverage options.

✓Investing for your Future - 401(k) Retirement Savings plan with top notch company Profit Sharing contribution which is immediately vested!

✓Generous time off starting day one with 4+ weeks annual vacation plus 9 paid holidays.

✓Paid Parental, Adoption, and Family Sick/Caregiver leave programs.

✓Volunteer Days and Study Time to focus on what is important to you!

✓Make a donation to your favorite Charity and Aberdeen will match up to $500 per year!

✓Employee Assistance, Travel and Discount Programs. From helping you navigate the healthcare system, to providing resources and assistance to parents and caregivers of children with development disabilities.

✓Flexible, voluntary benefits including Accident Insurance, Identity Protection, and Legal Assistance.

✓Wellness program including Nutritional Counselling and Gym Membership Reimbursements.

Our strategic drivers are the foundations from which we deliver for all our stakeholders: High Impact Intelligence, Enduring Relationships, Connections without borders and Future fit. You can find out more about our values here.
We are committed to exploring the possibilities of working smarter. This means we’d like to hear from you, whatever way you like to work.
We have a long-term commitment to building inclusive workplaces; we value diversity in our workforce and welcome enquiries from everyone. If you need assistance or a reasonable adjustment due to a disability, please let us know as part of your application and we will assist. You can find out more about our inclusive culture here.
Aberdeen is an affirmative action - equal opportunity employer.