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Compliance Manager - 40 ACT

Accounting/FinancePosted 19 days 11 hours 21 minutes ago. Viewed: 33 times.

Description

Will consider a relocation within the North East.


 


A world renowned asset management firm, seeks a technically savvy compliance manager. This is a highly visible position that will report directly to the Chief Compliance Officer. Your profile should include 5 to 10 years of compliance experience in financial services.



Responsibilities:



  • Address compliance and risk related issues, questions and concerns.

  • Develop and implement compliance requirements such as development of allocation procedures or operational controls.

  • Partner with business lines to ensure their compliance and represent them to the regulators.

  • Work with audit to identify business risks and document controls.

  • Provide input into risk matrices maintained by audit.

  • Review advertising and marketing materials to ensure consistency and high standards of disclosure.


Required:



  • Advanced degree in law or business or CFA desirable.

  • Prior experience and knowledge with products such as fixed income, derivatives, loan investments, interest rate swaps, mortgage backed securities and other fixed income structures.

  • Knowledge of Investment Advisory laws and securities related laws and rules (40 Act, 33 and 34 Acts.)

  • Hands on compliance experience as either a compliance officer in an investment bank or institutional asset management firm or regulator in the securities industry.

  • Excellent project management and organizational skills.

  • 5 to 10 years experience, preferably with an investment firm or regulator

  • Prior FINRA/SEC experience desirable.





Industry: Financial Services
Discipline: Tax & Compliance
Experience: 5 - 7 Years
Compensation: $125K
Company: Investment Advisory Services

Contact information



Apply Online at TheLadders.com

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