In this role, you will assist in regulatory examinations, mock examinations and other legal and regulatory matters, as they arise; review daily trade compliance reports; maintain restricted and watch lists.
In this role, the successful candidate will maximize sales and services revenue from each client engagement through a deep understanding of the broader needs our solutions address in the financial services sector.
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$50K to $83K -New York, NY
In this role, the selected candidate will work closely with the CNR Chief Compliance Officer to oversee the CNR Rule 206(4)-7 investment adviser compliance program and to assist with overseeing the City National Rochdale Funds' Rule 38a-1 compliance program.
In this role, the successful candidate will be reviewing fund documents (indenture/IMAs), model and maintaining fund specific portfolio compliance tests within SS&C proprietary compliance analytics model.
In this role, the selected candidate will identify regulatory trends and developments, advise the business on how such trends and developments may impact their current activities, and work with the business to implement any required changes to current policy or practices.
In this role, you will assist in the regulatory oversight, risk management, and policy implementation of all investment advisory relationships of two affiliated RIAs, including Advisor, Co-Advisor, Sub-Advisor and/or Solicitor arrangements.
In this role, the selected candidate will be responsible for managing the firms investment compliance program, including on-boarding of new mandates, assessing and resolving issues, and overseeing guideline monitoring.
In this role, the selected candidate will review marketing materials, offering documents, investor communications, and other materials across all of Real Estates investment strategies to ensure compliance with applicable law, regulations and company policies.
In this role, the selected candidate will help develop, draft and execute policies and procedures that are designed to detect and prevent violations of the federal securities laws and mitigate various types of risk, including compliance and operational risk.
The successful candidate will need to be an effective communicator, possess strong influencing skills and be responsible for enhancing the compliance framework and program by introducing approaches to make the role as efficient and effective as possible.