Fund Compliance Officer

Overview

The Role & Key Responsibilities
Skills Required
What you will get in return
Additional Information

Skills Required

  • A University degree in Accountancy or equivalent/Final stages of ACCA qualification
  • An ability to work to and meet agreed deadlines
  • Ability to work under pressure
  • Competence in Excel, general IT and accounting packages
  • A minimum of 3 years’ experience in a similar role
  • Experience in audit would be ideal, but not necessary
Tab Item Content

Skills Required

  • A University degree in Accountancy or equivalent/Final stages of ACCA qualification
  • An ability to work to and meet agreed deadlines
  • Ability to work under pressure
  • Competence in Excel, general IT and accounting packages
  • A minimum of 3 years’ experience in a similar role
  • Experience in audit would be ideal, but not necessary
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Department: Compliance

Employment Type: Full Time

Role & Key Responsibilities:

  • Serve as Chief Compliance Officer for fund clients, including quarterly and annual testing and reporting to fund boards;
  • Conduct testing and provide reports on Apex’s compliance with Rule 38a-1 policies and procedures relating to services to mutual fund clients; and
  • Monitor fund client compliance with portfolio restrictions and limitations.
  • Background as a CPA, attorney or IACCP (Investment Adviser Certified Compliance Professional) working in the mutual fund industry for at least 5 years preferred, but not required;
  • Ability to develop and/or maintain knowledge of federal securities laws applicable to mutual funds and their service providers;
  • Ability to develop constructive working relationships with fund Trustees, Investment Advisers and Apex operations personnel;
  • Familiarity with Microsoft Office, particularly Excel and Word, and comfortable learning other systems as needed;
  • Experience with StatPro Infovest portfolio compliance monitoring system is preferred, but not required; and
  • Ability to travel to attend fund board meetings and to visit fund investment advisers (post COVID).
  • Exposure to all aspects of the mutual fund business while working closely with experienced operations management;
  • Opportunity to make recommendations on policies and procedures relating to mutual fund service operations; and
  • Opportunity to work closely with mutual fund board members and fund counsel, including making recommendations on fund policies and procedures.

Willing to discuss remote working arrangements.

We are an equal opportunity employer and ensure that no applicant is subject to less favourable treatment on the grounds of gender, gender identity, marital status, race, colour, nationality, ethnicity, age, sexual orientation, socio-economic, responsibilities for dependants, physical or mental disability. Hiring decisions are made on the basis of skills, qualifications and experiences.

We measure our success as a business, not only by delivering great products and services and continually increasing our assets under administration and market share, but also by how we positively impact people, society and the planet.

For more information on our commitment to Corporate Social Responsibility (CSR) please visit our CSR policy page.

If you are looking to take that next step in your career and are ready to work for a high performing organisation, alongside talented people who take pride in delivering great results, please submit your application (with your CV, cover letter and salary’s expectations) to our dedicated email address: [email protected]

 

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Life At Apex

"Working here I have the space to be creative, take ownership and develop continuously. It’s a great company with a purpose, which in turn enables its people to identify with the core values and mission."

Diane Mero, Office Manager, Dubai

What we look for

We look to recruit bright, articulate and numerate employees who are not afraid of a challenge and are prepared to work hard and love what they do. Every employee plays a part in making our business what it is today and the more we grow, the more important that becomes.

 

Whatever your career path, ambition or skillset you will be joining an entrepreneurial environment and become part of a globally connected team. We don’t just want you to succeed, we want you to flourish.

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