Deputy Funds' CCO
The Deputy Funds’ CCO will assist the Funds’ Chief Compliance Officer in the development, maintenance, management, monitoring and testing of compliance programs pursuant to the Investment Company Act of 1940 and the Investment Advisers Act of 1940.
The successful candidate is expected to:
- Assist the Funds’ Chief Compliance Officer in administering all aspects of the compliance programs for all registered funds.
- Provide day-to-day guidance, training, coaching and mentoring to junior members of the compliance team.
- Conduct compliance-related, internet-based research in support of existing and new fund products.
- Conduct and document risk assessments.
- Design, implement and perform compliance monitoring and testing processes and procedures.
- Assist with due diligence over sub-advisers and other service providers.
- Monitor and report on compliance with exemptive orders received from the SEC.
- Draft new or revised compliance-related policies and procedures.
- Assist with the design and production of Board reports and materials.
- Assist with responding to inquiries from federal regulators.
- Identify and monitor affiliated entities and report thereon.
- Assist with identification and resolution of potential investment conflicts.
- Review Form 13F reporting.
- Review Form N-PORT and Form N-CEN reporting.
- Review Form PF reporting.
- Administer Code of Ethics oversight, reporting and compliance.
- Assist with design, implementation and reporting for open-end fund Liquidity Risk Management Programs.
- Assist with the design, implementation and testing of Fund AML Programs, where applicable.
- Assist with the design and production of educational presentations for fund Boards of Directors/Trustees.
- Gain exposure to the FS Funds’ Boards of Directors/Trustees and cultivate working relationships therewith.
- Bachelor’s Degree required.
- Minimum of 10-12 years of fund compliance experience required, adviser compliance experience a plus.
- Strong working knowledge of SEC regulations, especially the Investment Company Act of 1940 and the Investment Advisers Act of 1940, required.
- Prior compliance-related experience with registered closed-end funds, registered open-end funds, and private funds required.
- Prior experience with the design and implementation of a compliance program testing and monitoring plan required.
- Prior experience in performing thorough and efficient compliance-related, internet-based research required.
- Prior experience with the production or review of Form PF required.
- Strong working knowledge of Microsoft Office’s Word, Excel, and PowerPoint required.
FS Investments is a leading asset manager dedicated to helping individuals, financial professionals and institutions design better portfolios. The firm provides access to alternative sources of income and growth and focuses on setting industry standards for investor protection, education and transparency. FS Investments is headquartered in Philadelphia, PA, with offices in Orlando, FL, New York, NY, and Washington, DC. Visit www.fsinvestments.com to learn more.
FS Investments is an Equal Opportunity Employer.
- Pay Type Salary
- Philadelphia, Philadelphia, Pennsylvania, United States of America