Compliance Associate in New York City – 5+ years experience recruitment
Compliance Associate being hired by a consultancy firm in New York City. Flexible position with great benefits for an experienced compliance professional. Must have strong work ethic and ability to adapt to a changing environment.
Must have following background:
-Investment Advisory Experience
-Broker/Dealer Experience
-Team-player attitude
-Former in-house CCO experience preferred
-Former regulators strongly preferred - specifically SEC.
-Must be an expert in the Investment Advisor's Act and all other pertinent regulations
-Must have undergone an SEC exam during tenure as compliance officer
About the position:
You will serve as a compliance officer liaising daily with clients across the U.S. via phone, email, and in-person. The position will include up to 60% on-site client visits (mainly in the tri-state area), with minimal overnight travel. The position will entail serving on a team of compliance officers to various clients including Broker/Dealers, investement advisors, and some verification work.
To apply:
Email CV to Margo Ross at m(dot)ross(at)huxley(dot)com.