Location: New York, NY, 10025, US
Job Summary:
Job Duties and Scopes
- Oversee compliance functions, including employee conduct policies, regulatory filings, and compliance training.
- Develop and enhance the compliance program to align with regulatory expectations.
- Administer the Compliance Risk Monitoring Program and facilitate internal/external audits.
Required Skills
- Compliance experience at a registered investment adviser, including testing and risk assessments.
- Strong knowledge of the Investment Advisor's Act of 1940 and securities laws.
- Excellent communication, analytical, and organizational skills; ability to multi-task.
Required Experiences
- Minimum of 7-10 years of compliance experience in investment management.
- Experience managing and developing staff.
- Project Management and System Implementation experience is a plus.
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