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


• Must have a Series 7 & 24