Team Lead, Mutual Funds Compliance

We are currently seeking a Team Lead, Mutual Funds Compliance to join our team.

The Team Lead, Mutual Funds Compliance oversees the daily operations of a designated team focused on mutual fund compliance and operational efficiency. This role is responsible for both daily and monthly Tier 1 supervision of mutual fund registered advisors to ensure member suitability, while exemplifying and promoting best practices in support of profitable growth. Additionally, the Team Lead supports activities related to mutual fund registrations and operations and implements effective strategies for operational and compliance change management. This position upholds established compliance programs and fosters ongoing compliance education, contributing to organizational growth while prioritizing risk mitigation and strict adherence to all applicable regulations.

Here’s what would be included as a part of your typical day