Location: New York, NY, 10025, US
Job Summary:
Job Duties and Scopes
- Support and enhance Jennison's compliance program for regulatory and contractual requirements.
- Supervise staff on employee conduct policies, regulatory filings, and compliance training.
- Administer compliance risk monitoring and maintain policies; facilitate audits and regulate updates.
- Develop and implement training programs and maintain vendor relationships.
Required Skills
- Strong knowledge of the Investment Advisor's Act of 1940 and relevant securities laws.
- Excellent written and oral communication, analytical skills, and attention to detail.
- Proficient in MS Office; project management and system implementation experience preferred.
- Ability to manage and develop staff while multitasking in a fast-paced environment.
Required Experiences
- 7-10 years of compliance experience in an investment management firm.
- Experience in testing, risk assessments, and policy maintenance.
- Prior experience managing employee conduct and escalated compliance issues.
- FINRA Licenses (Series 7 & 24) a plus but not required.
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