Associate, Compliance (Asset Management) recruitment
This position will join a team lead by the Chief Compliance Officer that is responsible for ensuring the company, and its funds meet all legal, regulatory, and fiduciary responsibilities. This position is a fantastic opportunity for a driven and exceptionally detail oriented candidate that has some compliance experience to grow rapidly on a team that offers exposure to and cross-training on all compliance team responsibilities across the company.
This position will:
- Construct tests and appropriate metrics across area of focus to identify risks.
- Track compliance with company policies and procedures (NFA rules and registration requirements, class action participation, future position limits, marketing disclosures, trade errors, gifts, entertainment, etc.).
- Monitor compliance with company code of ethics
- Prepare and file regulatory forms
- Evaluate current policies and procedures against best practices
- Much more.
QUALIFICATIONS:
- Bachelors’ degree
- 1 – 4 years “max” directly relatable compliance experience working in a broker-dealer, asset manager, investment advisor or law firm that specifically serves the financial services industry.
- Understanding of financial instruments required (equities, commodities, FX, Fixed Income, etc.)
- Knowledge of the Investment Advisors Act of 1940, Commodity Exchange Act, and ERISA. (Knowledge of at least 2 are required)
- Exceptional writing and communication skills (English)
- Proficient in Word, Excel, Outlook and SharePoint.
- Proactive, intelligent, highly detail oriented, ability to juggle multiple priorities at once without getting stressed or overwhelmed, no fear of stating opinions or speaking one’s mind at any level, open-minded, and flexible.
Key words: trade compliance, trading compliance, marketing disclosure compliance, code of ethics, audit, regulatory compliance.
May 8, 2012
• Tags: Asset Management careers in the USA, Associate, Compliance (Asset Management) recruitment • Posted in: Financial