Location: New York, NY, 10025, US
Job Summary:
Job Duties and Scopes:
- Oversight and support of compliance functions, including employee conduct policies and regulatory filings.
- Develop and enhance compliance program effectiveness; administer Compliance Risk Monitoring Program.
- Facilitate audits, maintain policies, and provide compliance guidance; oversee training and onboarding processes.
Required Skills:
- Strong knowledge of the Investment Advisor's Act of 1940 and relevant securities laws.
- Excellent written and oral communication skills; ability to multitask and prioritize.
- Proficient in MS Office, especially Excel and PowerPoint; project management experience is a plus.
Required Experiences:
- 7-10 years of compliance experience in an investment management firm.
- Experience managing staff and developing compliance policies.
- FINRA Licenses (Series 7 & 24) preferred but not required.
Job URLs: