Senior Compliance Officer – Investment Advisor recruitment
Compliance Officer would report into the Chief Compliance Officer and act as more of a generalist. Responsibilities include: marketing review, policy procedures writing, regulatory filings, AML and training.
Candidates must have very strong/experience knowledge of rule 206(4)-7 of the Investment Advisers Act. Covering the annual review is a must and candidates should be very well versed in this element of the role.
Candidates must have very strong Investment Advisor compliance rule/regs experience. This rule knowledge/interpretation on the Investment Advisory side is a very important element of the position.
Qualified candidates will have the follow:
- 6-10 yeas of Investment Advisory compliance experience
- Investment management experience
- Series 7 and 24 (plus)
- Superior organizational skills
- High level of attention to detail
- Managerial experience and training experience (plus)
This is an excellent fund well over 20 billion aum and an excellent package is on offer. Hire is immediate.