Portfolio Compliance Analyst

Equitable

Portfolio Compliance Analyst overseeing regulatory compliance for Equitable’s mutual and private funds. Supporting fund launches, testing, filings, error remediation, and board reporting.

Posted 8/5/2026full-timeNew York City • New York • 🇺🇸 United StatesMid-LevelSenior💰 $130,000 - $160,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates extensive knowledge of the Investment Company Act of 1940 and Investment Advisers Act of 1940, with a strong focus on compliance rule implementation, regulatory filings, and risk management for 1940 Act funds. Proven ability to analyze complex investment guidelines and collaborate effectively with stakeholders to ensure adherence to compliance standards.

Highest-signal resume keywords

Portfolio Compliance ExperienceInvestment Company Act KnowledgeRegulatory Filings ExperienceAttention to DetailRisk Management Program Knowledge

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance Rule ImplementationRegulatory Requirements AnalysisPost-Trade Activity MonitoringCompliance System OversightFund Launch SupportValuation KnowledgeLiquidity ManagementPortfolio Guidelines ComplianceDerivatives Risk ManagementCompliance Testing

Soft Skills

Analytical SkillsOrganizational SkillsCritical ThinkingCommunication SkillsAbility to Manage Multiple Priorities

Certifications & Qualifications

Bachelor's Degree

Industry Keywords

1940 Act FundsInvestment GuidelinesSecurities Laws ComplianceSub-Advised Mutual FundsFund-of-Funds StructuresMulti-Advised Fund Structures

About the role

Key responsibilities & impact

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 make 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
Investigate, resolve, and remediate compliance errors in coordination with internal and external stakeholders
Assist with ongoing compliance and risk management requirements of the funds’ Derivatives Risk Management Program
Participate in special projects and strategic initiatives

Requirements

What you’ll need

Bachelor's Degree
5+ years of portfolio compliance experience
Established knowledge of the Investment Company Act of 1940 and Investment Advisers Act of 1940
Experience overseeing compliance system monitoring of post-trade activity, including escalation and resolution of issues
Experience supporting 1940 Act fund launches, ongoing fund compliance, testing, disclosures, and regulatory filings
Knowledge of valuation, liquidity, affiliation, portfolio guidelines, and 1940 Act fund governance
Preferred: experience with sub-advised mutual funds, fund-of-funds, and multi-advised fund structures
Preferred: demonstrated attention to detail, analytical, organizational, and critical-thinking skills, with ability to manage multiple priorities, evaluate complex information, and deliver accurate, high-quality results
Accuracy and attention to detail
Ability to communicate complex concepts clearly
Ability to manage multiple concurrent priorities
Knowledge of and ability to comply with securities laws and regulations

Benefits

Comp & perks

Base salary increases
Spot bonuses
Short-term incentive compensation opportunities
Medical insurance
Dental insurance
Vision insurance
401(k) plan
Paid time off
Flexible hybrid office/remote work environment
Growth opportunities
Internal mobility
Comprehensive compensation and benefits
Flexibility
Culture of collaboration and teamwork