Senior Compliance Professional New York
Senior Compliance Professional
Job ID: Job-3022
location: New York, NY
Jobtype: Permanent
Rate: $150K - $175K + bonus
Description:
Join a firm's compliance team in the assessment, development, implementation, and testing of compliance programs for clients in the alternative and traditional investments sector, in addition to providing SEC Exam support and outsourced Chief Compliance Officer (CCO) functions.
REQUIREMENTS
Must have experience working for the SEC preferably with OCIE on the enforcement side. NO EXCEPTION
J.D. and SEC experience preferred, candidates with extensive experience will be considered
7+ years of relevant compliance experience at a registered investment adviser, law firm, or investment consulting firm, experience practicing law regarding registered investment companies preferred
Strong knowledge of the Investment Advisers Act of 1940 and the Investment Companies Act of 1940, as well as the requirements of a Compliance and Risk program under both
Knowledge of SEC Exam practices, experience with SEC exams and mock exams preferred
Knowledge of CFTC / NFA as well as FINRA requirements is a plus
Excellent written and oral communication skills, strong ability to develop effective working relationships with clients and staff, and make articulate recommendations to department managers regarding potential solutions to issues
Strong attention to detail
Hard-working, dedicated, punctual, and personable
Management experience is a plus
RESPONSIBILITIES
Manage team of compliance professionals:
o Advising clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directives
o Advising on and reviewing firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements
Assist clients in the performance of compliance functions, such as oversight of personal trading, email review, the monitoring of firm trading activities and maintaining restricted lists
Preparation and filing of required regulatory filings, for US and international clients
Review of client and account documentation for anti-money laundering compliance
Review, assess, devise, and conduct training of our clients' employees and management, according to client needs, particularly regarding the Advisers Act, including training on insider trading, custody, conflicts of interest (i.e. allocations, Pay-to-Play, gifts and entertainment, and cross trades), and valuation
Design and monitor testing systems to insure the efficacy of controls and surveillance programs, including the consultation and implementation of relevant technology and technology infrastructure
Email resume in Word to JeffAltman@TheBigGameHunter.us. Please include the job code for the position with your resume.
NOTE: WE WILL ONLY RESPOND IF YOUR RESUME APPEARS TO FIT A ROLE
NO PAID RELOCATION. NO OVERSEAS RESUMES. NO 3RD PARTIES. Applicants for employment in the US must possess work authorization which does not require sponsorship from the employer for a visa.
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posted by Unknown at 11:51 AM
