Compliance Officer
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