Compliance Examiner

Position Specifications

• Bachelor’s degree or equivalent comparable business experience, including experience in financial services organizations in compliance, fund accounting, legal, audit or similar environment
• Minimum 2 years of business experience required; advanced degree (e.g. MBA or JD) may be accepted in lieu of experience; FINRA licenses (e.g. FINRA SIE, S7TO, S24, S66) may be accepted in lieu of experience
• Basic understanding of mutual fund and investment advisor process/regulations required
• Proficiency with Windows/PC operating system and Microsoft Word and Excel

Major Duties

• Portfolio investments for adherence to the stated investment objectives and policies and to regulatory standards (e.g., diversification, cash balances, valuation policies and procedures)
• Investigate, resolve and report on compliance exceptions
• Identify and draft automated portfolio restrictions for trade order management systems
• Borrowing policies and procedures (bank line of credit and interfund lending)
• Advisory policies and procedures (trade errors, trade allocation, AIMR performance standards)
• Maintain professional competence through a review of current regulatory and mutual fund industry literature and by attendance of relevant seminars, conferences, and training sessions
• Provide guidance, assistance and training, as necessary to other business units and Compliance Department staff

Hours/Location

• 8:00 a.m. - 5:00 p.m. (overtime as required)
• Location – Pittsburgh, PA (hybrid)

Exploratory Comments

• Demonstrated analytical skills, time management skills and organizational skills; able to work independently and prioritize work effectively
• Must be process-oriented; have a commitment to a high-quality work product; and high level of attention to detail
• Excellent oral and written communication skills to communicate effectively with internal clients
• Excellent interpersonal skills, demonstrate a cooperative attitude and communication skills with clients and coworkers at all levels, individually or as part of a team
• Discretion in working with sensitive or confidential information

Commencement Date

We are interested in qualified candidates who are eligible to work in the United States. However, we are not able to sponsor visas.

Equal Employment Opportunity

Federated Hermes is committed to providing equal employment opportunities in all aspects of employment to qualified individuals without regard to the following criteria: race, color, national origin, religion, sex, pregnancy, sexual orientation, gender identity or expression, mental or physical disability, age, familial or marital status, ancestry, military status, veteran status or genetic information as well as any other prohibited criteria under any local, state or federal law applicable to Federated Hermes. As part of the firm’s equal employment opportunity statement, Federated Hermes will also comply with applicable government contractor obligations, including ensuring veterans and qualified people with disabilities are considered for employment and promotional opportunities consistent with current federal, state and local laws and regulations. Federated Hermes will also make reasonable accommodations for the religious practices or beliefs of applicants and employees, as well as for mental health or physical disability needs.

California Privacy Notice

To review Federated Hermes’ California Privacy Notice go to https://www.federatedinvestors.com/corporate/careers.do and select CA Applicant Notice.