Corporate Attorney in Miamisburg, OH

Company Name:
SVP, Compliance Director - Funds
The candidate will be responsible for implementation of the mutual fund compliance program to ensure its regulatory and fiduciary obligations are met. Serve as the Chief Compliance Officer (CCO) of company Mutual Funds and the company Advantage Funds (the Funds). Reports to the Board of Trustees of the Funds and to the company Chief Compliance Officer. Ensure development, enforcement, administration and ongoing maintenance of the Funds and service providers policies and procedures that are reasonably designed to prevent violations of the Act by the Funds as required by Rule 38a-1 of the Investment Company Act (the Act). Maintain a thorough understanding of the Acts rules and regulations through ongoing education and involvement in industry groups. Conduct an annual review of the policies and procedures to determine their adequacy and effectiveness. Report all issues and findings to the senior management team of the Funds and the Adviser CCO as well as the Fund Board. Ensure annual compliance site visits are conducted with all primary service providers including investment managers, as part of the annual review of the compliance program. Report quarterly to the Fund Board on progress of the program, issues and challenges. Meet annually with the Fund Board on the adequacy and operation of the program, and communicate any material compliance matters and violations, changes and recommendations to fund policies and those of its service providers. Work closely with regulatory fund administration and independent counsel on all regulatory requirements and matters affecting the Funds . Advise and direct senior management and staff on all issues concerning compliance rules, regulations, and procedures relating to the Funds. Perform risk assessments of the Funds through close coordination with the business lines, corporate risk management and adviser compliance. Provide and support robust business and compliance training for all constituents (e.g. portfolio managers, trading, marketing and sales, compliance). Ensure Charles River compliance system (and any other system that provides compliance testing) is administered properly and supports portfolio management and trading teams. Manage and coordinate Fund related SEC examinations.

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