You are here
- Mutual Fund Compliance Role
- Exciting Compliance Opportunity in New York City!
About Our Client
Prominent Investment Management Firm located in midtown Manhattan.
- 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!