| Job details | |
| Job industry : | Accounting/Tax/Company Secretary/Audit |
| Job segment : | Regulatory/Compliance |
| Job role : | Finance/Budgeting Mgr |
| Job skill : | MBA or CPA |
| Position vacant : | Compliance Manager |
| Job location : | Long Island, New York |
| Job code : | 878 |
| Job details | |
| Company name : | Bonnie |
| Minimum experience : | 5 years |
| Maximum experience : | 10 years |
| Job type : | Permanent |
| Job duration : | Perm |
| Gross pay : | 150000 Yearly |
| Job posted : | Oct 21, 2008 |
| Start date : | Dec 01, 2008 |
| Job description | |
| Job description: | We are seeking a Compliance Manager to oversee and manage the US compliance function as well as our full time professionals devoted to this area for a leading Asset management fund. In this role you will administer the compliance program oversight of the firm, ensuring adherence to the Personal Securities Trading Policy as well as our Fund Compliance Manual. Other responsibilities include:
Administer Compliance training to the staff (in-person and written) Oversee the successful operation of the AML program (including signoff on investor subscription agreements) Liaise with Risk and Compliance staff on various projects Serve as CCO for Registered Fund Oversee and manage the licensing of salespeople and FINRA compliance for non-supervisory branch offices Ensure timely filings and compliance with regulatory requirements Review fund and client account activity to detect any potential compliance issues Oversee and manage regulatory exams as well as periodic internal audits Advise management and staff of potential issues and provide alternative solutions Oversee and manage the approval process for new products and marketing, advertising, and communications materials to ensure compliance with regulatory requirements Prepare documentation and respond to internal and/or external compliance questions Requirements: Bachelor’s Degree (Graduate degree, law degree preferred). CPA is a plus Minimum of 5 years in compliance position Staff management experience Knowledge of and experience with the Investment Advisers Act Proven leadership abilities Able to multi-task and work both within a team environment and independently Our client is a leading international banking and finance company. This position is located at one of their subsidiaries. Qualified candidates will be contacted immediately. There is no relocation package offered. Preference will be given to candidates who have experience working with investment funds |
| How to apply : | Register to view |
| Third party mediation allowed : | No |
| Telecommute : | No |
| This job is expired. | ||||
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