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Mutual Fund Compliance Professionals

Exploring This Job

Talk to compliance professionals about their careers. Ask your business teacher or school counselor to help arrange an interview. Suggested interview questions include: What made you want to enter this career? What type of software do you use to do your work? What do you like most and least about your job? How did you train for this field? What are some key skills for success? What advice would you give to young people about preparing for the field and being successful on the job? How will advances in technology change the field? Perhaps you could even job-shadow a compliance professional to learn even more about the field.

Visit the Web sites of Fidelity, The Vanguard Group, USAA, and other mutual fund companies to learn about their compliance departments. Join business and finance clubs to improve your knowledge of business and financial practices. In addition, check out Mutual Funds and ETFs: A Guide for Investors: https://www.sec.gov/investor/pubs/sec-guide-to-mutual-funds.pdf.