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Compliance Officer

  • Full Time, onsite
  • Abacus Group, LLC
  • New York City Metropolitan Area, United States of America
Salary undisclosed

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Our client is a financial services firm. They seek a Compliance Officer to join their Manhattan, NY office.

Responsibilities

  • Develop and implement the firm’s compliance program
  • Draft and update policies and procedures
  • Review investments and personnel activities
  • Handle reporting for FINRA and SEC annual review purposes
  • Manage relationships with external compliance resources
  • Assist with regulatory reporting and regulatory filings
  • Liaise with the portfolio managers and support the executive leadership

Requirements

  • Bachelor’s degree, legal degree preferred
  • 10+ years of compliance experience
  • Familiar with regulatory requirements
  • Knowledge of investment advisor and broker-dealer operations
  • Strong analytical and problem-solving skills
  • Excellent written and verbal communication skills
  • Exceptional attention to detail and accuracy
  • Proficient in Microsoft Office Suite

JobID: 47090

Our client is a financial services firm. They seek a Compliance Officer to join their Manhattan, NY office.

Responsibilities

  • Develop and implement the firm’s compliance program
  • Draft and update policies and procedures
  • Review investments and personnel activities
  • Handle reporting for FINRA and SEC annual review purposes
  • Manage relationships with external compliance resources
  • Assist with regulatory reporting and regulatory filings
  • Liaise with the portfolio managers and support the executive leadership

Requirements

  • Bachelor’s degree, legal degree preferred
  • 10+ years of compliance experience
  • Familiar with regulatory requirements
  • Knowledge of investment advisor and broker-dealer operations
  • Strong analytical and problem-solving skills
  • Excellent written and verbal communication skills
  • Exceptional attention to detail and accuracy
  • Proficient in Microsoft Office Suite

JobID: 47090