What are the responsibilities and job description for the Senior Compliance Officer position at TBG | The Bachrach Group?
Our client is a top asset management firm with an excellent reputation, particularly in Real Estate.
The role will report directly into the CCO and cover Central Compliance function for the firm including Marketing and Advertising Compliance, Code of Ethics, Personal Trading, Regulatory Filings, Policies and Procedures, Assisting with Regulatory Exams and Inquiries.
The ideal candidate will have 4 years of experience at an SEC regulated asset manager or private equity firm or law firm with relevant regulatory experience, candidates with strong Marketing Review experience is highly preferred.
BA Required
JD/MBA a plus but not required.
This is an in-office role based in Midtown Manhattan.
Salary : $140,000 - $170,000