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Mutual Fund Compliance Professionals

Experience, Skills, and Personality Traits

Analysts, who are typically hired right out of college, should complete a compliance-related internship or fellowship while still in school. These opportunities can be found at mutual fund companies and related employers, in the compliance department of a corporation, or at a regulator such as the Securities and Exchange Commission. Chief compliance officers (CCOs) need five to 10 years of compliance experience; at least half of this time should be in a managerial position. Some companies prefer to hire CCOs who have law degrees.

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