Senior Compliance Associate - Prestigious Investment Managament Firm

  • Base salary, bonus and excellent benefits
  • New York, NY, États-Unis
  • CDI, Plein-temps
  • The Forum Group
  • 22 janv. 18 2018-01-22

Our client, a well-regarded, global asset management firm seeks to add a dynamic and experienced senior level Compliance professional to oversee Personal Trading, Code of Ethics and Registrations.

 Major Responsibilities/Activities
• Administering employee compliance policies using SunGard’s Personal Trade Assistant (PTA), including personal trading, outside business activities, entertainment reporting, political contributions, etc. 
• Reviewing electronic communications using Global Relay, including maintaining lexicons and search rules in the system.
• Maintaining the firm’s FINRA registration, including filing of Forms BD, BR, U4, U5 and coordinating continuing education requirements.
• Preparing and filing Form ADV, Form CPO-PQR, annual CFTC filings, and other related regulatory filings.
• Assisting in annual compliance reviews, including the NFA self-assessment, FINRA supervisory review and other compliance testing. 
• Anti-money laundering oversight, including OFAC screening, KYC and suspicious activity monitoring. 
• Coordinating responses to regulatory examinations and audits by internal and external parties.
• Conducting in-person compliance training, including new hire compliance orientation. 
• Fielding inquiries from employees and management on compliance issues. 
• Overseeing one staff member who performs or assists with the administration of the duties above. 
• Performing other duties and responsibilities, as assigned.


Minimum Requirements
• Bachelor’s degree and minimum 7 years compliance experience, advanced degree a plus.
• Series 7 or candidate must obtain license within six months of hire.
• Knowledge of rules under the Investment Advisers Act of 1940 and Investment Company Act of 1940 and/or experience with FINRA and CFTC regulations highly desirable.
• Strong oral and written communication skills with an ability to communicate confidently and effectively. 
• A proven ability to multi-task, work both independently and as a team player, and able to prioritize tasks in a fast-paced environment.
• High attention to detail.
• Ability to partner with other business unit personnel at various levels within the organization.
• Motivated self-starter who requires minimal supervision in daily activities and broad compliance initiatives.
• Strong organizational skills, having the ability to maintain orderly documentation and track issues/recommendations.
• Ability to create processes that drive efficiency, having an interest in technology as a business driver is a plus

~~Minimum Requirements
• Bachelor’s degree and minimum 7 years compliance experience, advanced degree a plus.
• Series 7 or candidate must obtain license within six months of hire.
• Knowledge of rules under the Investment Advisers Act of 1940 and Investment Company Act of 1940 and/or experience with FINRA and CFTC regulations highly desirable.
• Strong oral and written communication skills with an ability to communicate confidently and effectively.