Identify and provide guidance to supervisor and staff on treatment of complex financial instruments and complex compliance issues.
Coordinate and monitor fund administration group activities in performing monthly expense projections and accruals, monthly calculation of asset-based fees, and disbursement analysis.
Identify and provide guidance to supervisor and staff on treatment of complex financial transactions and arrangement to ensure proper recording of expenses.
Coordinate and monitor fund administration group activities in preparing monthly Management reports and quarterly Board reporting on fund operations (including financial statements, portfolio characteristics, compliance summaries, and disclosure of significant affiliate and other transactions.
Act as the primary contact for client inquiries, requests and ad hoc projects on compliance and treasury issues.
Coordinate audits across multiple departments, respond to internal and external inquiries.
Support financial reporting by reviewing semi-annual and annual reports for integrity of data.
Work with legal counsel on Prospectus and Statement of Additional information updates.
Respond to staff questions regarding regulatory provisions.
Review and monitor regulatory filings for compliance issues.
Assist in developing and adjusting department procedures and systems enhancements.
Work with tax department to calculate fund distributions to ensure compliance with IRS distribution requirements.
Provide feedback and coaching to supervisors and staff, conduct performance reviews, and establish performance objectives
Interview candidates and make hiring decisions.
Perform any other responsibilities in compliance as needed.
EXPERIENCE:
Minimum of 5 - 7 years in the mutual funds industry, with a minimum of 3 -5 in tax and compliance issues. Some supervisory experience necessary.
SKILLS AND KNOWLEDGE:
• Strong technical understanding of the investment industry
• Strong interpersonal and communication skills, both oral and written
• Strong knowledge of SEC and IRS regulations and rules
• Strong understanding of accounting and budgeting concepts
• Good organizational and management skills
• Advanced analytical skills
• Good presentation skills
• Ability to coach and train employees
• Computer skills
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