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Job ID Number: 1258572047
Please reference this Job ID number in any communication you may send.
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| Job Category: |
Asset Management/Invest Advisory |
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| Job Title: |
Asset Management - Investment Advisory Compliance Officer |
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| State/Location: |
New York, NY |
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| Recruiter Name: |
Jack Kelly |
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| Recruiter Email: |
JKelly@ComplianceSearch.com |
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| Description: |
The Asset Management division of a global investment bank seeks a Compliance Officer.
The Compliance professional will assist in all aspects of compliance with the Investment Company Act, Investment Advisers Act, and ERISA, as well as specific fund restrictions for all institutional clients and proprietary/sub-advised 40 Act Funds that are managed by the firm.
Responsibilities include: reviewing potential guideline issues, supervising the monitoring of regulatory requirements, and assisting in the development and maintenance of the firm's compliance program.
Serve as a liaison between the business and Compliance
Assist the business in their review of pre-trade alerts
Provide real-time advice to front office
Interact with Monitoring to the extent necessary to provide guidance
Point of contact for the on-boarding of new accounts, performing a preliminary review of new and amended client investment guidelines/restrictions
Review of business procedures
Review of new products and new instrument to ensure they are appropriately developed/launched
Other duties as necessary and/or assigned
Please email resumes to Jack Kelly at jkelly@ComplianceSearch.com
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