Portfolio Compliance Analyst (HYBRID

Primary Location

UNITED STATES-NY-New York

Equitable

Full-time

At Equitable, we help clients secure their financial well-being so they can pursue long and fulfilling lives - a missionwe’vehoned since 1859.

The Equitable Law Department’s Mission is to Serve as Equitable’s trusted counsel, empowering 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 Portfolio 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.

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.

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, disclosures, and regulatory filings

Knowledge of valuation, liquidity, affiliation, portfolio guidelines, and 1940 Act fund governance

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

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…