What are the responsibilities and job description for the Compliance Specialist position at Meeder Investment Management?
Description
Role Overview
As a key member of the Meeder Legal and Compliance team, the Compliance Specialist role offers an exciting opportunity to contribute to a high-performing team with a wide-reaching purview across the entire firm. You will play a critical role in supporting Meeder's legal and compliance functions while collaborating with a diverse group of professionals. This position provides a broad set of responsibilities, offering opportunities for growth and development within the firm, allowing you to make a meaningful impact as you grow your career with us.
Primary Responsibilities:
Position Requirements
Meeder's advice and solution suite is driven by our founding principle: providing investment solutions designed to improve investor outcomes. Meeder works with clients - both directly and through financial advisors - to offer a variety of investment solutions including mutual funds, investment portfolios, separately managed accounts, retirement plan services, and cash management solutions.
At Meeder, we pride ourselves on living our five core values: Do the Right Thing, Driven & Results Oriented, Relationships Matter, Continuous Improvement, and Discipline. Our core values are the cultural cornerstone for everything we do. They inspire and guide us in our day-to-day work, our relationships with colleagues, and when servicing our clients.
Visit www.meederinvestment.com for more. See Meeder's social media pages at https://linktr.ee/Meeder
Role Overview
As a key member of the Meeder Legal and Compliance team, the Compliance Specialist role offers an exciting opportunity to contribute to a high-performing team with a wide-reaching purview across the entire firm. You will play a critical role in supporting Meeder's legal and compliance functions while collaborating with a diverse group of professionals. This position provides a broad set of responsibilities, offering opportunities for growth and development within the firm, allowing you to make a meaningful impact as you grow your career with us.
Primary Responsibilities:
- Responsible for planning, coordination, and distribution of Board materials for mutual funds and other investment pool Board meetings.
- Coordinate mutual funds filings with the SEC's EDGAR system.
- Manage Blue Sky process for mutual funds.
- Coordinate updating and filing of Form ADVs with the SEC in collaboration with the Legal and Compliance team and other stakeholders in the firm.
- Responsible for SEC, FINRA and state registration of licensed professionals.
- Assist with licensed representative oversight and compliance.
- Coordinate state corporate filings.
- File, organize and maintain records for Meeder's various affiliates, including firm registrations oversight and compliance calendar monitoring.
- Administer associate ethics reporting and conflicts of interest monitoring program via compliance application.
- Coordinate firmwide proxy vendor and insurance application/administration.
- Perform various compliance testing and monitoring functions.
- Manage new associate compliance onboarding process.
- Assist with preparation for examinations and other regulatory inquiries or inspections.
- Assist with organization and maintenance of third-party vendor agreements.
- Special projects as assigned that align with interests and skillset.
- General knowledge of investment industry and related legal and compliance obligations.
- Self-motivated and able to work independently.
- Detail oriented with excellent organizational skills.
- Strong knowledge of Microsoft Office products and the ability to work with new technologies.
- Able to work in a fast-paced environment, meet deadlines, and execute with minimal errors.
- Strong interpersonal skills with the ability to work well in a team-oriented environment.
- Strong written and verbal communication skills.
- Curiosity to responsibly use artificial intelligence to enhance and streamline daily tasks.
Position Requirements
- Bachelor’s degree required.
- FINRA license or paralegal certification preferred.
- 2-3 years of investment management compliance experience preferred.
- Experience with mutual fund registration, investment advisor or FINRA compliance preferred.
Meeder's advice and solution suite is driven by our founding principle: providing investment solutions designed to improve investor outcomes. Meeder works with clients - both directly and through financial advisors - to offer a variety of investment solutions including mutual funds, investment portfolios, separately managed accounts, retirement plan services, and cash management solutions.
At Meeder, we pride ourselves on living our five core values: Do the Right Thing, Driven & Results Oriented, Relationships Matter, Continuous Improvement, and Discipline. Our core values are the cultural cornerstone for everything we do. They inspire and guide us in our day-to-day work, our relationships with colleagues, and when servicing our clients.
Visit www.meederinvestment.com for more. See Meeder's social media pages at https://linktr.ee/Meeder
- Assets Under Advisement consist of $58.4 billion of regulatory assets under management by Meeder Investment Management's registered investment adviser affiliates and $100.6 billion of non-discretionary assets as to which Meeder Public Funds provides strategic advice or consultation as of December 31, 2023.
