Senior Compliance Officer

Confidential Company  •  Paramus, NJ

Less than 5 years experience  •  Financial Services

$100K - $110K
Posted on 08/15/17 by Jack Kelly
Confidential Company
Paramus, NJ
Less than 5 years experience
Financial Services
$100K - $110K
Posted on 08/15/17 Jack Kelly

Job Responsibilities

 

  • Work directly with Chief Compliance Officer to author and implement compliance policies, procedures and processes for an SEC registered investment adviser
  • Conduct compliance assessments and perform monitoring and testing of all aspects of the compliance program
  • Prepare mutual fund materials and due diligence questionnaires
  • Review marketing materials
  • Employee email review
  • Collaborate with management and external counsel on compliance framework
  • Act as Secretary for Brokerage Committee and Best Execution Committee. Complete documentation for quarterly  Brokerage Committee and  Best Execution Committee meetings.
  • Prepare and file annual compliance forms
  • Prepare mutual fund 15(c) materials and due diligence questionnaires
  • Review marketing materials
  • Employee email review
  • Monitor class actionlawsuits and complete documentation as needed
  • Bank Loan Compliance: monitor bank loan sites. Complete and file amendments to credit agreements as needed.
  • Serve as Compliance Backup for personal trading, political contributions and gifts & entertainment matters
  • Create and maintain related metrics to various interested parties

Qualifications

  • Bachelor’s degree and 3-8+ years of SEC Investment Advisory compliance experience
  • Knowledge of Bloomberg AIM Plus trade order management system is a plus
  • Knowledge of broker-dealer regulations is a plus
  • Knowledge of bank loan administrator sites is a plus
  • Strong attention to detail
  • Excellent verbal and written communication skills
  • Ability to work independently with limited supervision
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