July 30, 2020 Alert

Hi all,

Below are this week’s alerts for the Investment Network.  Enjoy! 

This Issue’s Topics:

  • Job Opportunity: First Trust: Entry Level Fund Compliance Associate
  • FREE: Stradley Ronon OnDemand Webcast: The SEC’s Fund Derivatives Rule: What’s in the Comments, and Is the Finish Line Approaching?
  • FREE: Stradley Ronon and Silver Regulatory Associates Webcast: ESG Regulatory Lens – A Guide for Private Fund Managers
  • 100 Women in Finance Global Webinar: Macroeconomic Global Challenges and the Impacts Brazil Faces Post COVID-19
  • 100 Women in Finance Global Webinar: Economic Crises Then and Now: Conversation with Dr. Carmen Reinhart and Dr. Gillian Tett

Job Opportunities:

First Trust: Entry Level Fund Compliance Associate
Illinois

This role is part of the Fund Compliance Department and will interact frequently with First Trust business departments, sub-advisors and service providers of the First Trust Funds. With oversight by the Funds’ Chief Compliance Officer, Deputy Chief Compliance Officer and Senior Fund Compliance Officer, the Fund Compliance Administrator will be responsible for supporting Fund Compliance and for administration of the LogicManager software used by Fund Compliance in its daily testing and Fund compliance activities.

General Responsibilities:

  • Act as Administrator of the LogicManager system to design, create and maintain testing, quarterly compliance questionnaires, internal team task management and internal and Board reporting regarding information provided by Fund Compliance, other First Trust personnel and third party service providers regarding the First Trust Funds’ Compliance Program.
  • LogicManager user set-up, training, tracking and maintenance
  • Identify opportunities for increased effectiveness and efficiency in current Fund Compliance processes
  • Creation and maintenance of Fund Compliance resource documents
  • Other support of Fund Compliance activities
  • Perform other duties as assigned.

Qualifications/Technical Skills/Education:

  • Ability to work independently and consistently manage workload in order to meet set deadlines.
  • Strong interpersonal skills, including excellent written and oral communication skills.
  • Ability to think creatively and present ideas clearly.
  • Ability to manage multiple tasks/projects and deadlines simultaneously, as well as shifting priorities is essential.
  • Ability to interact and collaborate with all levels of the organization and across a multitude of departments and third-parties.
  • Strong attention to detail and ability to retain and recall information.
  • Ability to quickly learn and navigate applications and software.
  • Microsoft Office proficiency including Excel, PowerPoint and Word
  • Experience with eGRC tools, preferably LogicManager
  • Bachelor’s Degree required.

Please send your resume to Kristi Maher kmaher@ftportfolios.com and Kelly Dehler kdehler@ftportfolios.com.

Events:

FREE: Stradley Ronon OnDemand Webcast: The SEC’s Fund Derivatives Rule: What’s in the Comments, and Is the Finish Line Approaching?

Stradley Ronon, ICI and T. Rowe Price professionals discuss the main issues raised in the comments submitted to the SEC on its proposed new rule that would govern the use of derivatives and certain other transactions by registered funds and business development companies, and what to watch for next. They discuss, among other things, the following aspects of the proposed rule:

  • Leverage Limits
  • Derivatives Risk Management Program Requirements
  • The Selection of a Derivatives Risk Manager
  • Board Oversight
  • The Definition of a “Derivatives Transaction”
  • Reverse Repos
  • The Limited Derivatives User Exception
  • Presenters: David Grim, Stradley Ronon; Kenneth Fang, Investment Company Institute; Nicole Simon, Stradley Ronon; Jonathan Siegel, T. Rowe Price and Christopher Zimmerman, Stradley Ronon.

To register, click here.

FREE: Stradley Ronon and Silver Regulatory Associates Webcast: ESG Regulatory Lens – A Guide for Private Fund Managers
Tuesday, August 11, 2020, 1:00-1:45 P.M. CDT

In the absence of clear regulatory guidance in many jurisdictions with respect to incorporation of environmental, social and governance (ESG) metrics into their businesses, what are the relevant considerations for private fund managers?

In this live webcast, we will:

  • Provide an overview of ESG and how the strategies apply to the various types of private fund managers.
  • Give an update on the regulatory climate and legal developments for ESG from the US to Europe and Asia.
  • Provide a framework for approaching the development of an ESG process, including where to access useful tools and resources.

We encourage an open dialogue with the audience during the event, so please feel free to ask our presenters any relevant questions during the webcast by clicking the “Q&A” button in the ON24 platform.

The speakers will be Trysha Daskam of Silver Regulatory Associates and John P. Hamilton and George Michael Gerstein of Stradley Ronon.

To register click here.

100 Women in Finance Global Webinar: Macroeconomic Global Challenges and the Impacts Brazil Faces Post COVID-19
Tuesday, August 11, 2020, 3:00 P.M. CDT

As the global economies regain their rhythm post-COVID, new opportunities and challenges will arise. Learn what lies ahead for prominent emerging markets and Brazil in particular. Which regions and industries are likely to attract investor interest and which ones will be cast aside? The speaker will be Adriana Dupita from Bloomberg. Please send your questions to brazil@100women.org or submit them during the webinar.

For more information, click here.

100 Women in Finance Global Webinar: Economic Crises Then and Now: Conversation with Dr. Carmen Reinhart and Dr. Gillian Tett
Wednesday, August 12, 2020, 9:00 A.M. CDT

The global backdrop of the current crisis – health – is different. Nonetheless, this great contraction will likely share outcomes with the last one as governments and regulators have pulled out a playbook with barely dry ink, and extended it.

Hear a reprise of a fascinating conversation from 2011 as Dr Carmen Reinhart and Dr Gillian Tett address whether markets and economies are now headed towards a sustainable great expansion or retrenchment. Explore the paths forward and the long overdue opportunity to address economic, debt and human crises.

Please send your questions to eduny@100women.org by Monday, August 10 or you may submit them online during the webinar.

For more information, click here.

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