Compliance Officer (Investment Management)

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 #J-18808-Ljbffr Social Capital Resources