Compliance Officer - (US-NY-New York)
Compliance Officer - (US-NY-New York)
Compensation: $70K - $100K / Year
Minimum Education: Bachelors
Job Type: Full Time
Jobcode: B74751JA
Experience Required : 3 - 5 years
Degree Required : 4 Year Degree
Assist in developing and maintaining Compliance Program for registered investment advisers. Duties include due diligence and testing of policies and procedures.
B.S. or higher required.
4+ years investment adviser or mutual fund compliance experience required. Experience with activities supporting SEC Rule 206(4)-7 Compliance Programs preferred. Additional experience in Fund Accounting/Administration or Internal Audit a plus.
Skills required: Good understanding of registered investment advisers; Knowledge of securities and markets; Basic knowledge of securities laws relating to investment advisers.
Candidate must have excellent written, oral and presentation skills. Candidate must have strong PC skills.
Candidate Must Have :
* 4+ years investment adviser or mutual fund compliance experience required
* B.S. or higher required.
* Knowledge of the Investment Adviser Act of 1940
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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