This is a position within the Compliance Group of the Legal Department. Its primary purpose is
to review and analyze the stated rules, regulations and internal guidelines applicable to, and
the investment policies of, each investment client serviced by Pioneer Investment Management
Inc. ("Pioneer"), including each fund in the Pioneer family of mutual funds (US and non-US)
and each institutional account.
· Conduct independent review and interpretation of investment clients disclosure documents,
prospectuses and current legislation to ensure consistent disclosure and to determine the
limits that investment managers need to abide by to ensure accurate and robust compliance
· Provide compliance interpretation support and advice, including recommending new/revised
disclosure in connection with interpretations of investment guidelines, rule and regulations
to Pioneer`s Portfolio Compliance Monitoring Team and the Legal Product Management Group.
· Understand, monitor and communicate current and emerging regulatory issues that impact
investment restriction monitoring;
· Communicate compliance rules for each Pioneer clients and coordinate review and sign-off by
Investment Personnel. Respond to investment managers queries and questions.
· Design, prepare and present investment compliance training programs and materials. Provide
guidance to clients on compliance limits and rule interpretation.
· Provide advice on investment restrictions and compliance matters.
· Assume additional responsiblilities as requested.
Education and Experience: Minimum, Bachelors Degree. Minimum of 8 years regulatory investment
compliance experience in the mutual fund industry. In-depth knowledge of legal and
administrative areas of an investment adviser.
1. Content knowledge
· In-depth understanding of mutual fund and institutional account business.
· Solid knowledge of the regulatory rules and restrictions, including the Investment Company
Act of 1940 and Investment Advisers Act of 1940, ERISA, the Securities Act of 1933 and the
Securities and Exchange Act of 1934. Familiarity with UCITS 1and UCITS III regulated funds.
· Strong paralegal skills and experience.
2. Technical skills
· Proficient at using the following software applications:
- spreadsheet - EXCEL
· Solid analytical and problem solving skills.
· Familiarity with automated compliance monitoring process.
· Make oral and written presentations.
· Respond to special requests from the business units.
· Participate, as needed, in management`s business initiatives.
· Integrate/coordinate and conduct projects with other groups.