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Compliance Specialist at Global Asset Mgmnt Firm

Employer
Park Hudson International LLC
Location
New York
Salary
Competitive
Closing date
9 Jun 2022

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Employer Sector
Banking & Finance - Retail
Contract Type
Permanent
Hours
Full Time
Travel
None
Job Type
Compliance
COMPLIANCE SPECIALIST AT A GLOBAL ASSET MGMNT FIRM
Base Salary is Up to $105K (based upon candidate & experience)
Plus Discretionary Bonus; and Excellent Benefits!

Solidly established, Global Asset Management Firm is looking for an experienced Compliance Specialist to join it team. This role requires a good understanding of US Securities Regulation, and in particular, the Investment Advisers Act. You must be able to support the Compliance Team in maintaining a compliance surveillance, monitoring, and testing program. In this role, he/she should have superior communication and drafting skills to draft memoranda and reports to Senior Management and Internal Governance Committees.

Candidates must have flexibility to be in the office five (5) days per week if needed; however, there will be a flexible work schedule for some remote-based work subject to manager and team structure/requirements.

QUALIFICATIONS AND SKILLS
  • Bachelor's Degree required
  • Four to Six (4-6) years of experience working within an Investment Adviser or equivalent experience
  • Experience in a global business whether headquartered in the US or London preferred
  • Good understanding of US Securities Regulation, including the Investment Advisers Act
  • Strong written and verbal communication skills, for both one to one and larger audiences
  • Experience con
  • ducting compliance monitoring and surveillance activities
  • Knowledge and experience in preparing for regulatory examinations
  • Experience with Aladdin or other Order Management Systems helpful but, not essential
  • Experience with Canadian regulatory reporting helpful, but not essential
  • FINRA/NFA licenses including any of Series 3, 6 and 7 is a plus

RESPONSIBILITIES AND DUTIES
Responsibilities may include all areas of maintaining an investment advisory, commodity trading adviser and broker-dealer compliance program including:
  • Review exception reports generated by internal compliance systems including employee personal securities transactions under the firm's Code of Ethics
  • Review and update of firm compliance policies and the procedures relating to monitoring and testing of the implementation of those policies
  • Assist in records production in response to regulatory, internal audit or client requests
  • Review daily shareholding records to ascertain whether shareholding disclosure reporting requirements have been triggered
  • Review marketing materials relating to the firm's investment capabilities, strategies, and funds
  • Analyze conflicts of interest situations, including gifts and entertainment questions, outside business activities and political contribution requests
  • Prepare SEC, CFTC and Federal Reserve regulatory filings and ensure timely filing
  • Prepare reports for sub-advisory relationships, institutional due diligence meetings and RFP requests
  • Prepare broker correspondence
  • Prepare and file firm regulatory forms including Form ADV for registered advisers and Form BD for broker-dealers
  • Prepare registration filings for US and Canadian regulators

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