Top-Tier Investment Manager in NYC is looking for a permanent Compliance Officer!
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 Client 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
Charles River experience is a plus
Seniority level
Entry level
Employment type
Other
Job function
Legal
Industries
Staffing and Recruiting
Referrals increase your chances of interviewing at Social Capital Resources by 2x