Compliance Consultant
You will be a key player in ensuring that Charles River Development's installed base of clients is optimizing their use of Charles River Development products. You will leverage your previous extensive investment company compliance experience to provide solutions for optimizing usage of the Charles River Trading and ComplianceMaster systems in the field at customer sites. Some knowledge of database systems and technology is desired. Must be comfortable working with all levels of management.
Responsibilities:
- Visit customers on-site as required to address best practices, workflows, and other specific compliance needs .
Requirements:
- In depth knowledge of regulatory requirements including Investment Company Act of 1940, Internal Revenue Code, and ERISA
- Specific knowledge of SEC 2a-7 Regulation
- Need to be able to understand and decipher Prospectus and Statement of Additional Information, and Investment Policies and Restrictions of Client.
- Knowledge of all type of investments, including domestic and international
- Systems applications experience a plus
- Ability to travel as needed to customer sites to perform on site troubleshooting and/or short term consulting engagements.
Qualifications:
- Bachelors Degree minimum. Masters Degree in Finance, Computer Science or related is ideal.
- Minimum of 5 years in Investment Company compliance experience (Including SEC and IRS Regulatory knowledge).
- Excellent written and oral presentation skills
- General knowledge of database systems and how an automated compliance environment functions
- A background in SEC, IRS, and Client Mandated Compliance Monitoring needed
- Must be organized, self motivated and deadline oriented