VP Compliance Investment Advisory recruitment
Primary responsibilities:
- Work to establish a risk based review plan to meet cycle requirements
- Perform testing of compliance and regulatory related controls to evaluate effectiveness
- Draft preliminary recommendations and work with responsible owners to agree on corrective action based on review findings
- Follow up on action plans to verify that corrective action has been effectively implemented
- Provide necessary training and assistance to other members of the team to ensure they are able to plan and conduct compliance reviews
- Work with Compliance and Business colleagues to prepare for regulatory exams
Qualifications:
- BA/BS Degree required
- 7+ years of experience in financial industry
- 3+ years of experience in Investment Advisory Act of 1940
- 3+ years of experience with Investment Management/Investment Funds 206(4)-7 testing
Preferred Qualifications:
- Analysis, planning and problem solving skills
- Superior organizational skills
- Series 7, 66 and 24 a plus
- High level attention to detail
- Proficient in MS Office
- Ability to interface with all levels of management
- Able to multi-task
January 3, 2012
• Tags: Asset Management careers in the USA, VP Compliance Investment Advisory recruitment • Posted in: Financial