Compliance Advisor – Investment Management and Investment Advisors recruitment
Our Client, a globally recognised professional services organisation, is seeking a talented compliance manager to assist it's investment advisors arm on an interim basis, though the initial contract length will be 3 months extensions are highlyy likely. The successful candidate will be responsible for advising Investment advisors on their regulatory obligations as listed below
Responsibilities will include:
- Existing Compliance Program Testing
- Deficiency Assessment and Gap Analysis
- Examination Support
- Compliance Program Development Implementation
- SEC and State Registration Processing
- Compliance Program Best Practice Reviews
- Supervisory System Review
- Specialized Product Reviews Mock SEC Exams
- On-site Liaison during SEC and State exams
- BSA/AML
- Specialized reviews/Personal Trading, Advertising
Required experience:
- Bachelors Degree (JD preferred)
- Minimum of 5 years experience working with investment advisors or in a hedge fund
- Strong understand of investment advisors regulatory obligations
- Hedge fund experience preferred
Please note our client is not looking for individuals specialising in broker/dealer compliance.
For further information or to make an application please call Et Halstead on 646 512 5836 or send a resumé to et.halstead@jcwresourcing.com.
May 27, 2012
• Tags: Compliance, Compliance Advisor, Investment Management and Investment Advisors recruitment, Legal careers in the USA • Posted in: Financial