Communicate regulatory changes and trends with the clients management team and their employees, representatives, etc.
Perform and/or oversee periodic testing of written policies and procedures to determine ongoing compliance
Perform trading and best execution reviews; monitor/review personnel trading for conflicts of interest
REQUIREMENTS
Ability to oversee and carry out the implementation and on-going execution and enhancement of a full-scale compliance program
Ability to work independently in a high demand/high productivity environment
Work efficiently with high attention to detail and the ability to multi-task
Carry a high level of team orientation; possess strong interpersonal communication skills and a passion to help team members and clients
Demonstrate integritymaintain client trust, confidentiality and code of ethics
Strong verbal and written communication skills
Dependable, accountable, adaptable, and flexible
Ability to enthusiastically support and promote the goals of our firm and its clients
EDUCATION AND EXPERIENCE
Bachelor's degree (B.A.) or equivalent from four-year College or University
5-7 years or more experience in financial industry compliance and/or operations; Preferably in a manager, officer or director role
Experience with the current and proposed financial regulatory environment (SEC, FINRA, DOL/ERISA, CFTC)
Knowledge of Securities Act of 33, Investment Advisers Act of 40, Investment Company Act of 40 and related federal and state regulations
Experience with financial industry regulatory requirements, forms & systems required; Regulatory audit/exam experience preferred
Specific knowledge of rules and exemptions governing hedge funds, private equity funds, 40 Act Funds and commodity pools helpful
Familiarity with GIPS and other industry standards are a plus
For more information: Please email ****
Communicate regulatory changes and trends with the clients management team and their employees, representatives, etc.Perform and/or oversee periodic testing of written policies and procedures to determine ongoing compliancePerf...
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