Role details

Compliance Officer

New York   •  Permanent

Bullet points

  • Mutual Fund Compliance Role
  • Exciting Compliance Opportunity in New York City!

About Our Client

Prominent Investment Management Firm located in midtown Manhattan.

Job Description

  • Ensure compliance with state, federal legal and regulatory requirements by the SEC, FINRA and State regulatory agencies in relation to the Investment Compnay Act of 1940 and the Investment Advisors Act of 1940.
  • Provide guidance for regulatory state and federal compliance issues to key stakeholders, as well as, sales management.







The Successful Applicant

  • 5 years experience in the financial services industry in Compliance role.
  • Knowledge the Investment Advisers Act of 1940, the Investment Compnay Act of 1940, the Securities Act of 1933 and the Securities Exchange Act of 1934.
  • Strong working knowledge of compliance and risk assessment practices
  • Experience writing detailed compliance procedures and disclosures

What's on Offer

Exciting Opportunity for compliance officer in the investment management world!

Apply for this job

Click the Apply or LinkedIn button below or contact Edward Whitehead quoting job reference 1206810
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