Compliance Consultant in San Francisco, CA at DISYS

Date Posted: 10/17/2018

Job Snapshot

Job Description

Multiple Job Locations: San Francisco CA, Boston MA

Job Description:

  • •        Responsible for developing, implementing and monitoring a risk-based compliance program to assure compliance with federal, state, agency, legal and regulatory requirements
  • •        Works with assigned business units and provides compliance risk expertise and consulting for projects and initiatives with moderate to high risk to identify, assess and mitigate regulatory risk in all business activities
  • •        Develops testing strategies and methodologies; evaluates the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls and identifies issues resulting from internal and/or external compliance examinations
  • •        Responsible for managing the development, implementation, and monitoring of a risk-based supervisory control system related to the proactive supervision and testing of all Fund service providers
  • •        This includes the management and oversight of the following: Compliance reporting to fund trustees, service provider testing and oversight, portfolio compliance and related portfolio and affiliate rules testing and execution of annual review and testing under Rule 38a-1.
  • •        Also coordinate, complete and deliver client compliance reporting requests
  • •        These include assisting in requests for proposal (RFPs), general due diligence (DDQs) and providing client support to other internal departments such as sales and relationship management teams
  • •        The compliance consultant will work closely with associates ensure compliance related reporting requests are completed timely and accurately
  • •        The compliance consultant will work with internal groups including Relationship Management, Sales, RFP, Portfolio Investment and Client Administration teams, to draft and communicate compliance related responses for external use

Job Requirements

Job Requirements:

  • •        Client reporting
  • •        Asset management compliance
  • •        Fund compliance
  • •        Minimum 5+ years of experience
Digital Intelligence Systems, LLC. is an Equal Opportunity Employer, M/F/D/V. We do not discriminate against any employee or applicant because they inquired about, discussed, or disclosed compensation. Email recruitinghelp @ to contact us if you are an individual with a disability and require accommodation in the application process.