Senior Compliance Associate recruitment
As Senior Compliance Associate you will be responsible for identifying and mitigating compliance risks, working with the CCO and partners of the firm to drive forward the compliance program. You will be expected to look across new business initiatives and investment products and respond to inquiries from regulators. In addition you will also act as manager and mentor to team members. We are seeking an individual with excellent experience from either a hedge fund, investment advisory firm or investment bank. SEC auditing experience would be advantageous and you must have a strong academic record. Read more […]
Senior Compliance Associate recruitment
Responsibilities-Perform continuous testing and examinations of ratings documentation for compliance with internal policies and procedures.-Work with LOB and Operations senior management to develop , track, and validate remediation plans.-Prepare periodic and ad hoc compliance reports outlining the results of Compliance’s Surveillance program and present results to Compliance Officers and senior management.-Work with the Compliance Surveillance Team, Rating Teams, Legal and Internal Audit to enhance the Surveillance Program and improve existing surveillance program.-Develop creative automated solutions Read more […]