Compliance Specialist

Department: Legal

Meeder Investment Management (Meeder) is a Dublin, Ohio-based asset management firm with approximately $12 billion in assets under management, advisement, and administration. Meeder offers a wide variety of financial solutions, including Mutual Funds, Separately Managed Accounts, Cash Management and Retirement Plan Services. The firmís affiliates include three registered investment advisors, a limited purpose broker-dealer, a transfer agency, and the Meeder Funds mutual fund family.

The firm is seeking an experienced Compliance Specialist. This position is responsible for assisting the Chief Legal Officer and the Chief Compliance Officer (CCO) in all legal and compliance matters and coordinating all regulatory affairs throughout the firm.

Primary Responsibilities

  • Responsible for planning, coordination, and distribution of Board materials for Meeder Funds Board meetings.
  • Coordinate filing mutual fund documents and financial statements with the SECís EDGAR system.
  • Coordinate updating and filing of Form ADVs with the SEC.
  • Responsible for FINRA and state registration of licensed professionals.
  • Assist the CCO with licensed representative oversight and compliance.
  • Coordinate state registration of Meeder Funds. ē File, organize and maintain records for Meederís various affiliates.
  • Assist with preparation for examinations and other regulatory inquiries or inspections.
  • Organize and maintain third-party agreements.
  • Special projects as assigned.

Critical Success Factors

  • Legal knowledge of investment industry.
  • 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.

Technical Skills Required

  • Bachelorís 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.

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