Sr. Compliance Examiner

About the role

The Sr. Compliance Examiner will assist in the implementation of the Federated Hermes compliance program as it relates to broker-dealer wrap, or Separately Managed Accounts, advisory business for the Federated Hermes affiliated investment advisers. The Sr. Compliance Examiner will focus on portfolio monitoring and testing, as well as overall compliance with Federated Hermes policies and procedures and federal securities regulation.

Responsibilities

• Assist in the implementation of the Federated Hermes compliance program by monitoring individual portfolios and transactions;
• Client onboarding, other compliance monitoring;
• Designing, drafting, and implementing policies and procedures as necessary;
• Training staff on Federated Hermes compliance requirements;
• Participate in drafting disclosures and monitoring contract templates.

Requirements

• Bachelor’s degree or equivalent level of related experience which includes experience with financial services organizations in compliance, fund accounting, legal, audit or similar environment.
• Minimum 5 years of business experience plus 1 year of investment adviser compliance.
• Knowledge of municipal securities and securities markets, familiarity Investment Advisers Act of 1940, and other SEC regulations.
• Thorough understanding of investment advisory process/regulations.
• Proficiency with Windows/PC operating system and Microsoft Word and Excel.

Qualifications

Preferred: Degree in accounting, finance, or business.

Skills

Strong analytical skills, attention to detail, and ability to work independently and as part of a team.

Benefits

Annual base salary range for this position is $72,240 - $130,000. In determining salary multiple factors will be taken into consideration such as primary work location, experience, education and skill set. In addition to base salary, this position includes eligibility for a bonus.

We offer our Employees (and, as applicable, their dependents) medical, dental, prescription, vision, and basic life insurance benefits. Additionally, Employees are eligible to enroll in our company’s 401(k) plan.

Each calendar year employees are eligible for paid leave which includes fifteen vacation days, seven ill days, and ten holidays.

Pay

The annual base salary range for this position is $72,240 - $130,000.

Schedule

Hybrid in-office work schedule.