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Job ID Number: 1264090633
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: |
Senior Compliance Associate, Asset Management |
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| State/Location: |
New York, NY |
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| Recruiter Name: |
Michael Lane |
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| Recruiter Email: |
MLane@ComplianceSearch.com |
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| Description: |
Our client is a $25 Billion dollar Asset Management firm that is seeking a Senior Compliance Associate.
Reporting to the VP, Compliance, this position will be responsible for assisting in developing, implementing, overseeing and measuring the compliance program for the firm. A primary focus of this position will be assisting the department in administering and testing the compliance programs of all affiliates. Specific responsibilities include:
Assist in the compliance risk assessment process across business lines
Assist in the development and conduct of the firms 38a-1 and 206(4)-3 testing
Assist in the coordination of ADV updates and conduct ongoing monitoring for adequacy of disclosure
Implement revisions to current policies and procedures in response to testing results or changes in regulatory or company landscape
Investigate, resolve and document compliance related issues
Evaluate existing compliance systems with respect to current regulatory requirements
Coordinate the preparation of periodic compliance reports to clients
Prepare periodic compliance reports to management
Provide timely responses to general questions from internal colleagues
Lead or participate in projects as assigned to contribute to efficient department operations
Interface with internal and external counsel on compliance issues
Assist in the review of sales and marketing literature and customer disclosures
Perform other duties and responsibilities, as assigned
Qualifications:
4 + years compliance experience, primarily in an asset management organization
College degree required
Series 7 and 24 preferred but will consider candidates willing to obtain licenses within six months of hire
Knowledge of the rules under the Investment Advisers Act of 1940 and Investment Company Act of 1940 and/or experience with foreign regulations highly desirable
Excellent verbal and written communication skills
Ability to interact with personnel from all levels of the organization
Ability to multi-task and prioritize workload to meet deadlines in a fast-paced, dynamic environment
Very strong analytical, project management and leadership skills
Experience developing and analyzing exception reports a plus
Highly motivated and able to work independently
To apply please submit your resume to Michael Lane - MLane@ComplianceSearch.com |
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