COMPLIANCE ASSOCIATE
MULTI-BILLION DOLLAR INVESTMENT FIRM
DOWNTOWN NEW YORK, NY
Our compliance associates assist with the organization, administration and enforcement of the company’s compliance program.
Responsibilities include: monitoring, updating, and enforcing compliance policies and procedures (i.e., the Compliance Manual, Form ADV, investor files, brokerage arrangements and other government filings); testing and documenting compliance policies; monitoring key federal and state regulatory developments; and preparing for and responding to SEC inquiries and audits.
We are looking for someone with at least 2-4 years of experience as a compliance professional at a mid- or large-sized investment advisory firm which is registered with the SEC and has successfully been through SEC audit(s); a solid understanding of the contents, requirements and operations of the Investment Advisers Act of 1940, the Investment Company Act of 1940 and the Securities Act of 1933; outstanding organizational and communication skills; comfort with and an understanding of how to interact with government officials; and an undergraduate degree from a top university. Prior enforcement experience at the SEC or other SRO experience (NASD, NYSE) is preferred. MUST HAVE REGULATED INVESTMENT ADVISOR EXPERIENCE!
A
trade automation, connectivity and compliance solution, the SunGard
Transaction Network (STN) links institutions throughout the financial
services community to facilitate end-to-end transaction processing.
With
more than 4,500 client firms in 60 countries managing more than $12
trillion, Advent has established itself as a leading provider of
mission-critical applications for investment management operations of
all sizes and strategies.
QUMAS
is a global compliance software company offering a complete Enterprise
Governance, Risk and Compliance solution with over 250 customer
deployments.
Belzberg
Technologies has been at the forefront of the electronic trading
evolution from the very beginning, and continues to provide world-class
service, execution and technology to the securities industry.
