This position is primarily responsible for the operational functions of the US mutual fund complexes, including preparation of Board and regulatory materials, and some client service support to Private Client Services and Legal. This position will also serve as a back up contact for various daily operational functions including product/account communications, financial reporting and fund valuation tasks as well as investment manager oversight.
The responsibilities of the individual in this position include:
Coordinate, prepare, and review the components of the financial statements for which the Fund Complex Team is responsible. Involves coordination with Legal, Investment Division and the auditors. Coordinate and implement new accounting disclosures into financial reports. Perform book reviews in conjunction with the final auditor review.
Manage Fund Complex product intiatives such as new fund launches, mergers, closures, and fund strategy changes. Coordinate with business unit, Legal, and Investment Division on impact of such initiatives.
Actively support client service role to AIS, Legal, and the Investment Division. Track team quarterly KPIs and update KPI spreadsheet. Participate in quarterly client service meetings.
Prepare and review all components of quarterly and annual contract review (15c mtg) Board Reporting and regulatory filings, including annual prospectus and SAI updates in addition to review of the quarterly financial reporting filings. Prepare expense restatements for regulatory filings when expenses are impacted.
Support the manager oversight function as related to manager transitions, foreign registration and maintenance of the database used for audit purposes (ISDA and broker account data)
The successful candidate will have extensive demonstrable skills and experiences including the following:
Bachelor's degree in business, economics, finance, or related field required
2-5 years of professional experience in a investment management firm working with U.S. open-end mutual funds preferred
Working knowledge of GAAP and/or financial instruments
Work efficiently under pressure with minimal supervision; ability to organize and prioritize multiple assignments and meet deadlines.
Project management experience; strong organization skills
Experience with SEC and ERISA regulations and knowledge of the Investment Company Act of 1940
Strong analytical skills, attention to detail, and facility with numbers
Strong PC skills; competency using standard spreadsheet and word processing applications
Ability to work collaboratively with associates at all levels and across multiple business units
Communication skills: verbal, written