Job Description:

A well-respected and long-established asset management firm seeks a highly motivated and organized individual to serve as Compliance Officer (CO).

The CO will assist and support members of the Compliance Department, including the Senior Vice President, Chief Compliance Officer (SVP, CCO), regarding research and drafting of policies, procedures, and processes to address federal and state regulatory compliance issues.

The role aims to support and facilitate business to be conducted in compliance with applicable laws, regulations and firm policies. In addition, the CO will reinforce the firm’s culture of compliance by: providing general compliance advice and support primarily for this business; performing monitoring/surveillance; monitoring personal trading; reviewing marketing materials and assist in conducting training and on any other compliance related matters.

What you will do:

  • Aids Compliance Department on various compliance matters
  • Under supervision, helps to develop, draft and execute policies and procedures that are designed to detect and prevent violations of the federal securities laws and mitigate various types of risk, including compliance and operational risk
  • Review and analyze, under supervision, various reports and business practices against the policies and procedures designed above
  • Provide guidance to the business, under supervision, as necessary on compliance, client guideline interpretation and regulatory issues
  • Under supervision, manages the identification, communication and tracking of regulatory changes and analyze the impact of such changes
  • Under supervision, identifies potential areas of compliance vulnerability and risk and aids in development and implementation of corrective action plans for resolution of such vulnerabilities
  • Under supervision, will continuously review current policies, procedures and surveillance activities to seek to modify and improve the compliance program
  • Assist in administration and reporting on the Code of Ethics and personal trade pre-clearance
  • Review and file marketing materials, including RFPs and due diligence questionnaires
  • Assists with the development and implementation of relevant employee training


  • Undergraduate degree required
  • Grade Point Average (GPA) of 3.0 or above in a 4.0 scale
  • FINRA Series 7 must be obtained within (six) 6 months of hire date
  • Up to 2 years of compliance, risk management, or auditing experience from which knowledge in internal control and risk management was obtained.  Asset management industry experience, including mutual fund business preferred
  • Knowledge of Investment Company Act of 1940, Investment Advisers Act of 1940, SEC  and FINRA Rules and Regulations


Please email resumes to Jack Kelly at Jack@ComplianceSearch.com

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