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Mutual Fund Compliance Professionals

Work Environment

Compliance professionals work in a typical—but fast-paced—business environment with standard work hours (Monday through Friday, 9 to 5). A small amount of travel is required to industry conferences and to board meetings. At a large firm, a chief compliance officer is assisted by a large staff. At a small firm, the CCO may have to work solo or only have a handful of assistants. This job can be stressful because compliance professionals are tasked with identifying and addressing risk areas in a wide range of areas—from the funds/financial products, to advertising, to the actions of portfolio managers. The stakes are rising for compliance professionals. The Securities & Exchange Commission aims to hold compliance officers personally responsible for fraud that happens under their watch, which might give some compliance professionals pause.

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