Job DescriptionROLE PURPOSEThe Risk & Compliance Analyst - Registered Funds supports the Head of US Registered Fund Compliance/Fund CCO ("Fund CCO") to establish, maintain and implement a compliance program to meet the obligations of Rule 38a-1 of the 1940 Act for abrdn's registered funds (open-end funds, closed-end funds and ETFs). The Registered Fund Risk & Compliance Analyst will report to the Fund CCO.
KEY RESPONSIBILITIES- Support the Fund CCO to establish, maintain and implement a compliance program to meet the obligations of Rule 38a-1 of the 1940 Act for Aberdeen's registered funds (open-end, closed-end and ETFs).
- Take the lead, with the guidance and direction of the Fund CCO, to prepare 38a-1 quarterly and annual reports to be delivered to the respective registered fund boards.
- Maintain and update appropriate compliance documents, including Aberdeen's registered fund compliance manuals.
- Work with the Fund CCO to set, maintain and oversee an annual risk-based testing program for Aberdeen's registered funds. Perform certain tests when required.
- Track and analyze regulatory change and developments impacting Aberdeen's registered funds and suggest best practices related to registered fund compliance.
- Assist the Fund CCO to deliver trainings to registered funds to key stakeholders, including portfolio managers of Aberdeen's registered funds.
- Provide advice and guidance to the business on registered fund compliance matters, including with respect to new products and product changes.
- With the Fund CCO, present on compliance matters to independent fund directors.
- Assist the broader Risk & Compliance - Americas team with new hire on-boarding; personal dealing, G&E inquiries and other compliance maters.
QUALIFICATIONS AND EXPERIENCE- 3-5 years working in compliance, with a focus on registered fund compliance
- Strong fundamental understanding of the Investment Company Act of 1940
- Demonstrated skill in stakeholder engagement and management;
- Prior experience of working directly for or with a registered fund CCO preferred
- Bachelors degree or higher
WHAT WE OFFER:- Best in class Medical, Dental, and Vision plans with well-known carriers; Telehealth and Health Concierge services.
- Health, Dependent and Commuter Flexible Spending Plans.
- Employer provided Life Insurance, Critical Illness Insurance, Short Term and Long-Term disability with additional optional coverage options.
- Investing for your Future - 401(k) Retirement Savings plan with top notch company Profit Sharing contribution which is immediately vested!
- Generous time off starting day one with 4+ weeks annual vacation plus 9 paid holidays.
- Paid Parental, Adoption, and Family Sick/Caregiver leave programs.
- Volunteer Days and Study Time to focus on what is important to you!
- Make a donation to your favorite Charity and Aberdeen will match up to $500 per year!
- Employee Assistance, Travel and Discount Programs. From helping you navigate the healthcare system, to providing resources and assistance to parents and caregivers of children with development disabilities.
- Flexible, voluntary benefits including Accident Insurance, Identity Protection, and Legal Assistance.
- Wellness program including Nutritional Counselling and Gym Membership Reimbursements.
