Job description

About the Role At Equitable, we help clients secure their financial well-being so they can pursue long and fulfilling lives - a mission we’ve honed since 1859. The Equitable Law Department’s Mission is to Serve as Equitable’s trusted counsel, e mpowering Equitable to pursue its noble purpose by upholding the highest standards, forging collaborative relationships and delivering creative solutions. At Equitable we have reimagined how we want to work and are guided by principles of inclusivity, flexibility, and connection. Come join us and enjoy working for a leading financial services company with an amazing and diverse culture! We offer a flexible hybrid office/remote work environment, and this position is located in our New York, NY office. Equitable is looking for a Senior Investment Compliance Analyst to join our team. The Equitable Investment Management (EIM) Portfolio Compliance team oversees compliance with investment guidelines and regulatory requirements on behalf of EIM’s registered mutual funds and private funds. The team supports product development, new product launch, daily compliance testing, regulatory implementation and reporting to the funds’ board of directors. What You’ll Be Doing • Analyze investment guidelines of 1940 Act funds and create corresponding compliance rules • Support new fund launches through implementation of compliance rules • Update compliance rules based on changes in prospectus disclosures and investment guidelines • Troubleshoot coding issues and making appropriate adjustments • Ensure compliance with prospectus guidelines, regulatory requirements and applicable EIM policies and procedures relating to 1940 Act funds • Collaborate with internal stakeholders and external vendors/sub-advisers • Assist in development of the compliance program for 1940 Act funds, including implementation of new regulations • Assist with regulatory filings, annual compliance reviews and testing and applicable board reporting obligations • Responsible for the investigation, resolution and remediation of compliance errors in coordination with internal and external stakeholders • Assist with the ongoing compliance and risk management requirements of the funds’ Derivatives Risk Management Program • Participate in special projects and strategic initiatives This position offers a hybrid work schedule, with an on–site presence of 2–3 days per week combining flexibility with team collaboration. The base salary range for this position is $130,000 - $160,000. Actual base salaries vary based on skills, experience, and geographical location. In addition to base pay, Equitable provides compensation to reward performance with base salary increases, spot bonuses, and short-term incentive compensation opportunities. Eligibility for these programs depends on level and functional area of responsibility. For eligible employees, Equitable provides a full range of benefits. This includes medical, dental, vision, a 401(k) plan, and paid time off. For detailed descriptions of these benefits, please reference the link below. Equitable Pay and Benefits: Equitable Total Rewards Program What You Will Bring Required Qualifications: • Bachelors Degree • 5+ years of portfolio compliance experience • Established knowledge of the Investment Company Act of 1940 and Investment Advisers Act of 1940 • Oversight of the compliance system monitoring post-trade activity, including escalation and resolution of issues • Experience supporting 1940 Act fund launches, ongoing fund compliance, testing, and/or disclosures • Knowledge of valuation, liquidity, affiliation, portfolio guidelines, and 1940 Act fund governance Preferred Qualifications: • Experience with sub-advised mutual funds, fund-of-funds and multi-advised fund structures • Demonstrated attention to detail combined with developed analytical, organizational, and critical-thinking skills, with a proven ability to manage multiple priorities, evaluate complex information, and deliver high-quality results with accuracy and precision Skills Accuracy and Attention to Detail : Understand the necessity and value of accuracy; ability to complete tasks with high-level of precision. Communicating Complex Concepts: Knowledge of effective presentation tools and techniques to ensure clear understanding; ability to use summarization and simplification techniques to explain complex technical concepts in simple, clear language appropriate to the audience. Managing Multiple Priorities : Knowledge of effective self-management practices; ability to manage multiple concurrent objectives, projects, groups, or activities, making effective judgments as to prioritizing and time allocation. Securities Laws and Regulations (SLR) Compliance: Knowledge of securities laws and regulations; ability to find out and comply with relevant laws and regulations during business activities. About Equitable At Equitable, we’re a team committed to helping our clients secure their financial well-being so that they can pursue long and fulfilling lives. We turn challenges into opportunities by thinking, working, and leading differently – where everyone is a leader. We encourage every employee to leverage their unique talents to become a force for good at Equitable and in their local communities. We are continuously investing in our people by offering growth, internal mobility, comprehensive compensation and benefits to support overall well-being, flexibility, and a culture of collaboration and teamwork. We are looking for talented, dedicated, purposeful people who want to make an impact. Join Equitable and pursue a career with purpose. Click Careers at Equitable to learn more . ********** Equitable is committed to providing equal employment opportunities to our employees, applicants and candidates based on individual qualifications, without regard to race, color, religion, gender, gender identity and expression, age, national origin, mental or physical disabilities, sexual orientation, veteran status, genetic information or any other class protected by federal, state and local laws. NOTE: Equitable participates in the E-Verify program. If reasonable accommodation is needed to participate in the job application or interview process or to perform the essential job functions of this position, please contact Human Resources at (212) 314-2211 or email us at TalentAcquisition@equitable.com .

Requirements

Must-haves

At Equitable, we help clients secure their financial well-being so they can pursue long and fulfilling lives - a mission we’ve honed since 1859.
What You’ll Be Doing
Analyze investment guidelines of 1940 Act funds and create corresponding compliance rules
Support new fund launches through implementation of compliance rules
Update compliance rules based on changes in prospectus disclosures and investment guidelines
Troubleshoot coding issues and making appropriate adjustments
Ensure compliance with prospectus guidelines, regulatory requirements and applicable EIM policies and procedures relating to 1940 Act funds
Collaborate with internal stakeholders and external vendors/sub-advisers
Assist in development of the compliance program for 1940 Act funds, including implementation of new regulations
Assist with regulatory filings, annual compliance reviews and testing and applicable board reporting obligations
Responsible for the investigation, resolution and remediation of compliance errors in coordination with internal and external stakeholders
Assist with the ongoing compliance and risk management requirements of the funds’ Derivatives Risk Management Program
Participate in special projects and strategic initiatives
This position offers a hybrid work schedule, with an on–site presence of 2–3 days per week combining flexibility with team collaboration.
Equitable Pay and Benefits: Equitable Total Rewards Program
What You Will Bring
Bachelors Degree
5+ years of portfolio compliance experience
Established knowledge of the Investment Company Act of 1940 and Investment Advisers Act of 1940
Oversight of the compliance system monitoring post-trade activity, including escalation and resolution of issues
Experience supporting 1940 Act fund launches, ongoing fund compliance, testing, and/or disclosures

Nice-to-haves

Experience with sub-advised mutual funds, fund-of-funds and multi-advised fund structures
Accuracy and Attention to Detail : Understand the necessity and value of accuracy; ability to complete tasks with high-level of precision.
Securities Laws and Regulations (SLR) Compliance: Knowledge of securities laws and regulations; ability to find out and comply with relevant laws and regulations during business activities.

Application prep

Use the role’s language and application details while tailoring your materials.

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Benefits

Benefits detected in the listing.

Dental

Vision

401(K)

Paid Time Off