Associate Compliance Officer

Meeder Investment Management has helped clients successfully reach their financial goals since 1974. Located in Dublin, Ohio, Meeder has over 125 professionals dedicated to serving the financial needs of financial advisors and their clients as well as government entities, with over $150 billion in assets under advisement as of December 31, 2023*

Meeder’s advice and solution suite is driven by our founding principle: providing investment solutions designed to improve investor outcomes. Meeder works with clients – both directly and through financial advisors – to offer a variety of investment solutions including mutual funds, investment portfolios, separately managed accounts, retirement plan services, and cash management solutions.

At Meeder, we pride ourselves on living our five core values: Do the Right Thing, Driven & Results Oriented, Relationships Matter, Continuous Improvement, and Discipline. Our core values are the cultural cornerstone for everything we do. They inspire and guide us in our day-to-day work, our relationships with colleagues, and when servicing our clients.

Role Overview 

The Associate Compliance Officer will provide support to the Chief Compliance Officer (CCO) in all aspects of the firm’s compliance program and should be broadly experienced with the regulatory environment impacting investment advisers and registered investment companies. 

Primary Responsibilities 

• Assist in the development, implementation, and maintenance of compliance policies and procedures.
• Assist with monitoring of compliance program requirements; providing updates, metrics and reporting as needed.
• Conduct compliance testing and/or reviews in coordination with testing and monitoring program and compliance priorities.
• Support the CCO in risk assessment processes and annual compliance reviews.
• Review firm due diligence requests and requests for proposal responses.
• Conduct compliance reviews of advertising material, working closely with internal partners.
• Support timely completion of regulatory filings for the firm and Meeder Funds.
• Assist with the management and monitoring of ComplySci system for associate ethics reporting and compliance calendar functions.
• Assist with monitoring pre- and post- trade portfolio compliance functions with the Charles River Investment Management Solution system for registered mutual funds and separately managed accounts in various lines of business, including Meeder Funds, Public Funds, and Private Wealth Management.
• Manage firm contracts and agreements database within ContractWorks system.
• Assist with anti-money laundering, cybersecurity and business continuity programs and reviews.
• Perform additional projects and tasks in support of Meeder’s compliance program as assigned.

Critical Success Factors 

• Functions with a high degree of independence while meeting competing priorities, deadlines and objectives.
• Ability to effectively interact and communicate with all levels of Meeder associates. This role interacts with entire firm.
• Strong analytical skills, attention to detail, and ability to exercise balanced judgment and        decision making.
• Positive attitude, enthusiastic, professional, with a strong work ethic.
• Excellent written and verbal communication skills.

 Skills Required 

• Bachelor’s Degree
• A minimum of 3-5 years’ experience in a risk management, internal control, or in a compliance role in the asset management or financial services industry.
• Knowledge of Investment Advisers Act of 1940, as amended, Investment Company Act of 1940, as amended and FINRA Rules.
• Highly proficient understanding and use of Microsoft Office suite and various compliance and risk technology tools.  

*Assets Under Advisement consist of $58.4 billion of regulatory assets under management by Meeder Investment Management’s registered investment adviser affiliates and $100.6 billion of non-discretionary assets as to which Meeder Public Funds provides strategic advice or consultation.