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 belowResponsibilities will include:Existing Compliance Program TestingDeficiency Assessment and Gap AnalysisExamination SupportCompliance Program Development ImplementationSEC and State Registration ProcessingCompliance Program Read more […]
May 27, 2012
• Tags: Compliance, Compliance Advisor, Investment Management and Investment Advisors recruitment, Legal careers in the USA • Posted in: Financial • Comments Off on Compliance Advisor – Investment Management and Investment Advisors recruitment