Role details

Compliance Officer

New York   •  Permanent

Bullet points

  • Be part of a growing team
  • Competitive Compensation

About Our Client

My client was founded over 40 years ago and has consistently beat the market year-over-year the management of diversified commodity investment portfolios using commodity futures.

Job Description

  • Development and drafting of Compliance policies and procedures through collaboration with the business, Risk, Legal and Compliance, and other stakeholders.
  • Tracking and analysis of applicable regulatory developments.
  • Responding to document production and related requests from Litigation and Regulatory Exams and Inquiries.
  • Special projects identified by the Manager of the Regulatory Counsel/Policies & Procedures Group and Compliance Counsel.

The Successful Applicant

  • JD and/or 5+ years financial industry experience.
  • Extensive experience with current financial regulatory requirements, including Dodd-Frank, and the ability to analyze and assess new rules and regulations.
  • Experience with form ADV and form PF filings.

What's on Offer

  • Full benefits: health, vision, dental
  • Daily, catered lunch
  • Car and cell phone budget
  • 401(k)

Apply for this job

Click the Apply or LinkedIn button below or contact Michael Campagna quoting job reference 1219457
As you are using an Apple iOS device we are unable to offer you the CV upload function. Please apply with your Linkedin profile below or contact Michael Campagna quoting job reference 1219457