Senior Compliance Officer recruitment
Our client, a global asset management firm is seeking a Senior Compliance officer to join its Manhattan Office. The successful applicant will have extensive knowledge of US Securities regulation and experience in providing direct regulatory advice to Investment Advisors, Broker Dealers and Traders. The client is also interested in applicants with working knowledge of Commodities and Mutual fund regulation as well as SEC examinations and ERISA Law.
Responsibilities of the role will include but are not limited to:
- Providing advice by phone and e-mail to business and compliance colleagues in a large multi-national investment adviser.
- Planning, updating and documenting the results of periodic monitoring and testing program; this may include designing or refining measures to monitor areas required by new regulation.
- Writing clear and concise reports for use by senior management, mutual fund Boards of Trustees, or to prime advisers in sub-advisory relationships describing the monitoring program and the results from testing.
- Acting as liaison with auditors—internal and external—and regulators to produce documentation of the organisation’s compliance program.
- Maintaining and updating compliance manuals for a registered investment adviser, its affiliated broker dealer and drafting new policies as necessary.
- Reviewing and/or supervising the review of program areas including employee personal securities, soft dollar compliance, RFP and marketing documents, Anti-money laundering and advisory reporting including Form ADV, Form 13F, Forms 13 D and 13G and Form 13H.
- Conducting and/or aiding staff prepare for SEC examinations
- Analysing the business and compliance impact of regulatory change, collaborating with relevant business management and Compliance colleagues on the actions or projects to be undertaken and educating and training relevant business management and staff.
- Potentially overseeing effective compliance arrangements with relevant regulatory regimes and group policies relating to the companies’ offices in Canada and South America.
- Communicating with Senior Stakeholders as well as working effectively with a small, experienced team
Previous experience from working in an international investment advisor will be a serious advantage in the position.
For further information please contact Et Halstead on +1 646 512 5836 or email me on et.halstead@jcwresourcing.com.
February 13, 2012
• Tags: Compliance, Legal careers in the USA, Senior Compliance Officer recruitment • Posted in: Financial