Manager, US Compliance - (US-NY-Jericho) (CORRECTION

Position is in Jericho, not NYC

 

Manager, US Compliance - (US-NY-Jericho)

Compensation: $170K - $180K / Year
Minimum Education: Bachelors
Job Type: Full Time
Jobcode: B078034JA

If not you, would you know someone???  I will pay a finders' fee if you refer someone who is hired.

Experience Required : 5 - 10 years

Responsibilities:
„« Oversee and manage the U.S. compliance function, including managing full time professionals
„« Oversee and manage the Compliance Program (including oversight of firm-wide compliance with the Personal Securities Trading Policy as well as Compliance Manual)
„« Administer Compliance training to the staff (in-person and written)
„« Oversee the successful operation of the AML program (including signoff on investor subscription agreements)
„« Liaise with Risk and Compliance staff on various projects
„« CCO for Registered Fund
„« Oversee and manage the licensing of salespeople and FINRA compliance for non-supervisory branch offices
„« Ensure timely filings and compliance with regulatory requirements
„« Review fund and client account activity to detect any potential compliance issues
„« Oversee and manage regulatory exams as well as periodic internal audits
„« Advise management and staff of potential issues and provide alternative solutions
„« Oversee and manage the approval process for new products and marketing, advertising, and communications materials to ensure compliance with regulatory requirements
„« Prepare documentation and respond to internal and/or external compliance questions

Candidate Must Have :
Minimum 5 years compliance experience including strong, proven managerial experience
Experience with the Investment Advisers Act
Bacelors Degree or equivalent required
Graduate degree, law degree and/or CPA is a plus

Email resume in Word to TheBigGameHunter@cisny.com. Please include the job code for the position with your resume.

NO RELOCATION. NO VISA TRANSFERS. NO OVERSEAS RESUMES. NO 3RD PARTIES.

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Jeff Altman, The Big Game Hunter
Concepts In Staffing
9 East 37 Street
New York, NY 10016