Mutual Funds Compliance Director (7279BR) New York, New York
The Mutual Funds Compliance Director will primarily provide support to MainStay Funds Chief Compliance Officer within New York Life. This position is located in Parsippany, NJ, and will service the compliance activities of the MainStay Group of Funds.
Specific responsibilities of the role include:
• Performing Rule 38a-1 service provider testing. Scheduling, coordinating, and conducting onsite due diligence interviews with service providers.
• Preparation and coordination of recurring and special Board reports.
• Researching, document review, compiling, drafting responses to regulatory inquiries and examinations, and other special projects, as necessary.
• Assisting with Purchase/Redemption – In Kind; Large Trade and New Fund Launches.
• Assisting in the management of the unit’s filing system.
• Prepare documents, charts/tables/graphs, and reports and assist with the review of the annual 15c memorandum.
• Composing notes, letters, memoranda and miscellaneous correspondence.
• Participating in compliance department staff and project meetings.
• Assisting with matters relating to proxy voting.
• Bachelors degree
• Prior experience with mutual funds
• Prior compliance and testing/audit experience
• Regulatory experience
• Willing to work overtime as requested by Manager.
• Ability to establish priorities, work independently
• Skill to use a computer and various software packages
• Exhibits initiative, dependability, and motivation
• Ability to handle and resolve recurring problems
• Familiarity with the financial services industry
• Experience in conducting due diligence reviews
• Excellent interpersonal skills
• Excellent writing skills
• Excellent organizational skills
• Excellent proofreading capabilities
• Ability to travel