Senior Compliance Officer recruitment
A Global Investment Management Firm is seeking a Senior Compliance Officer that has a solid understanding of the Investment Adviser's Act of 1940. This individual will conduct reviews under the firm's annual review program pursuant to Rule 206(4)-7 of the Advisers Act which includes conducting reviews of the Group's policies and procedures as included in the Compliance manual. The Firm is seeking a generalist (someone who can wear many hats).
Responsibilities include:
Run monitoring program
Handle reviews for hiring manger to sign off
Assign monitoring to others
Write policies
Handle marketing reviews
Oversee regulatory filings
Establish a risk based review plan to meet review cycle requirements
Additional Responsibilities include:
Compliance reviews covering all aspects of the fund's business including those outside the US
Oversight of broker-dealer branch office requirements
Policy writing
Regulatory Filings
AML
Training
Ad-hoc special products
Requirements:
Excellent academic credentials
Minimum of 6+ years experience with a registered investment adviser/hedge fund
Previous Investment Management/Investment Funds experience
Series 7 and 24 a plus
Analysis, planning and problem solving skills
Superior organizational skills
Training skills
High level attention to detail
Excellent communicator at all levels
Must know Microsoft Windows and Office
Able to take initiative and must be able to multi-task.
If qualifications are met, please contact recruiter:
Ben Gordon
Ben.gordon@roberthalffsg.com
212-835-4916
Compensation: up to $150K