Compliance Officer
📋 Role Overview & Responsibilities
Top-Tier Investment Manager in NYC is looking for a permanent Compliance Officer!
Responsibilities
Interface with the compliance team, management, operations, or legal, as appropriate, to communicate, coordinate and resolve issues and respond to requestsCounsel business associates on regulatory and compliance requirementsCoordinate with the firm’s outside service providers to ensure regulatory filings are made timely and accurately.Update and file all required regulatory filings including, but not limited to ADVs and other periodic filings Update and amend Compliance Manual, Code of Ethics and other compliance policies and procedures.Conduct reviews and prepare reports on the investment adviser’s brokerage practices and best execution.Perform Annual Compliance Review, Risk Assessment Review, Employee Compliance Training and Marketing Materials ReviewEngage in special projects, initiatives, and other activities of an ad hoc nature.
Qualifications
In-depth knowledge of SEC and FINRA broker-dealer regulation and regulatory environmentTrade Surveillance experience is a mustMust have working knowledge of Investment Advisors Act of 1940Experience with Mutual FundsFamiliarity within a regulatory, legal, compliance or business capacityCharles River experience is a plus
Frequently Asked Questions
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This position is located in New York City Metropolitan Area with potential relocation and sponsorship assistance depending on candidate qualifications.
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