Bachelor degree or equivalent comparable business experience including experience in financial services organizations in compliance, fund accounting, legal, audit or similar environment required; Bachelor degree in Accounting, Finance, or Business preferred
Minimum 3 years of business experience or 2 years of financial services, legal or audit experience required; experience with mutual fund or investment advisor compliance preferred; Advanced degree (e.g. MBA or JD) or required FINRA registrations may be accepted in lieu of experience
Basic understanding of mutual fund process/regulations (e.g. FINRA rules, ‘40 Act requirements) required; working knowledge of regulations governing mutual funds (e.g. Investment Company Act requirements, Investment Advisers Act requirements) preferred
Proficiency Microsoft Word and Excel required
Perform periodic compliance monitoring and testing of policies and procedures governing broker/dealer, Investor Services and third-party transfer agent functions and report findings and recommendations or resolution to Compliance Officers.
Monitor foreign accounts and off-shore funds for compliance with applicable policies, procedures, rules and regulations.
Perform verifications of private fund investors’ status
Assist in the development of compliance monitoring programs and in the maintenance of current policies and procedures manuals
Prepare periodic reports on regulatory and compliance testing and results
Conduct research in connection with federal and state laws and regulations
Assist in regulatory inspections; operational reviews and special compliance reviews of designated business functions
Assist legal, broker-dealer, Investor Services, third-party transfer agent, and audit staffs in special projects as assigned
Maintain professional competence through a review of current regulatory and mutual fund industry literature and by attending relevant seminars, conferences, and training sessions
Provide guidance and assistance, as necessary, broker-dealer, Investor Services, third-party transfer agent and Compliance Department staff.
8:30 a.m. - 5:00 p.m. (overtime as required)
Limited travel may be required
Federated Investors Tower, Pittsburgh, PA 15222
Must possess strong analytical skills and a process-orientation; strong time management and organizational skills; ability to work independently and prioritize work effectively
Excellent oral and written communication skills and interpersonal skills; ability to work effectively as part of a team
Must exercise discretion in working with sensitive or confidential information
Must have or obtain FINRA Series 7, 24, and 66 registrations
Federated Investors, Inc. offers a competitive salary and benefits package along with a professional environment.
Since 1955, millions of investors in the United States and around the globe have relied on Federated Investors, Inc. (NYSE: FII) for world-class investment management. Federated has grown to become one of the nation's largest investment managers with $366 billion in assets under management.
Federated has honed its disciplined investment process over a half-century to deliver style-consistent inv...estment products, including 123 domestic and international equity, fixed-income and money market funds, as well as a variety of separately managed accounts. Federated's diversified product line is distributed through more than 8,400 financial intermediaries and institutions who assist investors in meeting their unique objectives. For additional information about Federated Investors visit FederatedInvestors.com.