Title: “Compliance Officer” within Legal and Compliance Department
Location: New York, NY (currently remote)
Salary: $90-105K + bonus
Notes: Permanent, direct-hire. Full-time.
The successful candidate will be responsible for implementing and enhancing firm’s compliance program under the direction of a Senior Compliance Manager. The candidate will help ensure the investment advisers and broker-dealer’s compliance with all applicable regulations, particularly the requirements of the SEC, CFTC FINRA and other regulators.
- Assist with the administration of the Firm’s Code of Ethics, including but not limited to the preclearance of personal trades, outside business activities, and political contributions
- Assist with broker-dealer licensing and registrations including processing U4/U5 submissions and amendments
- Assist in ensuring the timely and accurate filing of all regulatory reports for the adviser and broker-dealer
- Assist in review of marketing materials
- Help evaluate the adequacy and effectiveness of firm’s policies, procedures and internal controls
- Assist in the annual review of applicable policies and procedures
- Perform daily surveillance of e-communications of the adviser or broker-dealer personnel
- Investigate compliance issues as needed and report findings back to senior management
- Perform general compliance and operational risk related functions as instructed; and participate in compliance related projects as needed
Experience and Requirements:
- BS/BA preferred
- A good understanding of the securities business 2+ years
- Good interpersonal skills and effective writing, analytical, and communication skills
- General knowledge of SEC and FINRA rules and securities laws including the Investment Company Act of 1940.
- Knowledge of the Investment Advisers Act of 1940 is a plus
- Experience with StarCompliance, or FINRA Series 7 and 24 registration is a plus