Compliance Officer (Investment Management)
Full-time
Social Capital Resources
Top-Tier Investment Manager in Midtown is looking for a permanent Compliance Officer at the VP level!
Responsibilities:
- Interface with the compliance team, management, operations, or legal, as appropriate, to communicate, coordinate and resolve issues and respond to requests
- Counsel business associates on regulatory and compliance requirements
- Coordinate with the firm’s outside service providers to ensure regulatory filings are made timely and accurately.
- Update and file all required regulatory filings including, but not limited to ADVs and other periodic filings
- Update and amend Compliance Manual, Code of Ethics and other compliance policies and procedures.
- Conduct reviews and prepare reports on the investment adviser’s brokerage practices and best execution.
- Perform Annual Compliance Review, Risk Assessment Review, Employee Compliance Training and Marketing Materials Review
- Engage in special projects, initiatives, and other activities of an ad hoc nature.
Qualifications:
- In-depth knowledge of SEC and FINRA broker-dealer regulation and regulatory environment
- Trade Surveillance experience is a must
- Must have working knowledge of Investment Advisors Act of 1940
- Experience with Mutual Funds
- Familiarity within a regulatory, legal, compliance or business capacity
- Must have a Series 7 & 24
Vacancy posted 6 hours ago
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