What are the responsibilities and job description for the Global Regulatory Compliance Senior Associate position at Coda Search│Staffing?
Global asset management firm is in search of a senior compliance specialist to oversee the global regulatory reporting. The role will ensure that the firm’s operations and investment strategies remain in strict accordance with global financial regulations. You will act as a key guardian of the firm's reputation, translating complex regulatory requirements into actionable internal policies. The role will be responsible for its regulatory filings related to its hedge funds, mutual funds and other separately managed accounts, monitoring and interpreting regulations from governing bodies such as the SEC, FINRA, CFTC, and NFA. The role will oversee the preparation and filing of critical regulatory reports (e.g., Form ADV, Form PF, 13F, 13G/D) and other global filings in the UK, Europe and Asia.
Successful candidate will have a minimum of 5 years of experience in compliance at a global asset management firm, specifically with experience in shareholder of interest filings, Section 13, TIC reporting, and other derivative related filings.
Salary : $120,000 - $185,000