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About the Role

Equitable's Law Department seeks to empower the company by upholding high standards, fostering collaboration, and delivering creative solutions. Join a leading financial services company with a diverse culture, offering a flexible hybrid office/remote work environment. This role supports the Equitable Investment Management (EIM) Portfolio Compliance team, which oversees compliance with investment guidelines and regulatory requirements for EIM's registered mutual funds and private funds.

Responsibilities

Analyze investment guidelines of 1940 Act funds and create corresponding compliance rules
Support new fund launches through implementation of compliance rules
Update compliance rules based on changes in prospectus disclosures and investment guidelines
Troubleshoot coding issues and make appropriate adjustments
Ensure compliance with prospectus guidelines, regulatory requirements, and applicable EIM policies and procedures relating to 1940 Act funds
Collaborate with internal stakeholders and external vendors/sub-advisers
Assist in development of the compliance program for 1940 Act funds, including implementation of new regulations
Assist with regulatory filings, annual compliance reviews and testing, and applicable board reporting obligations
Responsible for the investigation, resolution, and remediation of compliance errors in coordination with internal and external stakeholders
Assist with the ongoing compliance and risk management requirements of the funds’ Derivatives Risk Program
Participate in special projects and strategic initiatives

Requirements

Bachelors Degree
5+ years of portfolio compliance experience
Established knowledge of the Investment Company Act of 1940 and Investment Advisers Act of 1940
Oversight of the compliance system monitoring post-trade activity, including escalation and resolution of issues
Experience supporting 1940 Act fund launches, ongoing fund compliance, testing, disclosures, and regulatory filings
Knowledge of valuation, liquidity, affiliation, portfolio guidelines, and 1940 Act fund governance
Experience with sub-advised mutual funds, fund-of-funds and multi-advised fund structures
Demonstrated attention to detail combined with developed analytical, organizational, and critical-thinking skills
Proven ability to manage multiple priorities, evaluate complex information, and deliver high-quality results with accuracy and precision

Skills

Accuracy and Attention to Detail
Communicating Complex Concepts
Managing Multiple Priorities
Securities Laws and Regulations (SLR) Compliance

Location

New York, NY

Work Type

Hybrid
Full-time

Experience Level

5+ years

Education Level

Bachelors Degree

Salary/Compensations

$130,000 - $160,000

Benefits

Medical
Dental
Vision
401(k) plan
Paid time off

About the Company

At Equitable, we’re a team committed to helping our clients secure their financial well-being so that they can pursue long and fulfilling lives.
We turn challenges into opportunities by thinking, working, and leading differently – where everyone is a leader.
We encourage every employee to leverage their unique talents to become a force for good at Equitable and in their local communities.
We are continuously investing in our people by offering growth, internal mobility, comprehensive compensation and benefits to support overall well-being, flexibility, and a culture of collaboration and teamwork.
We are looking for talented, dedicated, purposeful people who want to make an impact.
Join Equitable and pursue a career with purpose.

Equal Opportunity

Equitable is committed to providing equal employment opportunities to our employees, applicants and candidates based on individual qualifications, without regard to race, color, religion, gender, gender identity and expression, age, national origin, mental or physical disabilities, sexual orientation, veteran status, genetic information or any other class protected by federal, state and local laws.
NOTE: Equitable participates in the E-Verify program.
If reasonable accommodation is needed to participate in the job application or interview process or to perform the essential job functions of this position, please contact Human Resources at (212) 314-2211 or email us at TalentAcquisition@equitable.com.