Location: New York, NY, 10025, US
Job Summary:
Job Duties and Scopes
- Supervise staff enforcing employee conduct policies.
- Enhance compliance policies and procedures based on regulations.
- Administer Compliance Risk Monitoring Program.
- Manage regulatory filings and audits.
- Develop and implement compliance training.
Required Skills
- Strong knowledge of the Investment Adviser's Act of 1940.
- Excellent communication skills for senior management interactions.
- Strong analytical skills and attention to detail.
- Proficient in MS Office Suite.
- Project Management experience is a plus.
Required Experiences
- 7-10 years compliance experience in investment management.
- Managed and developed staff.
- Prior experience with compliance testing and risk assessments.
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