The investment management division of a diversified financial firm seeks a Compliance Manager/Deputy Director of Compliance.
You should have a minimum of 5 -7 years of compliance experience with an emphasis on asset management, RIA, or mutual funds. After a year or so, there will be an opportunity for a promotion to Deputy Compliance Officer, who will sit right next to the Chief Compliance Officer.
- Coordinate with CCO and designees to provide assistance in managing, developing and implementing corrective action to address compliance matters.
- Identify and communicate compliance deficiencies and potential problems.
- Review forms and disclosures to comply with applicable compliance laws, rules and regulations.
- Assist in reviewing proposed changes to and existing policies and procedures relative to the compliance requirements of laws and regulations.
- Assist in Managing the Compliance Risk Assessment process.
- Prepare documents which provide an adequate level of support for the audit work performed, conclusions reached and compliance related issues. Draft audit documents in a pertinent, concise and accurate manner.
- Obtains and evaluates responses to audit issues to ensure appropriate corrective action is taken.
- Assists in Training staff on compliance regulations as needed.
- Exhibits superior time management skills – measured by deadlines and quality of progress and projects completed
- Develops and maintains rapport will the staff and management in order to effectively obtain and communicate compliance information.
- Conducts quarterly updates and reviews of sales/marketing materials, including fact sheets, presentations, prospecting kits, RFPs, and questionnaires
- Reviews advertising, marketing, and other communications (including videos, websites and social media)
- Bachelor’s or Master’s degree in Finance, Business, Economics, Criminal Justice (or similar).
- JD (law degree) is a plus.
- Minimum of 5 years of compliance experience.
- Have strong oral and written communication skills.
- Be dependable, flexible and adaptable to changing needs.
- Be able to work independently in a fast paced small team environment.
- Multi-task and prioritize effectively, demonstrate strong organizational and problem solving skills with attention to detail and work effectively as a team member.
- Candidates should also be highly motivated
Please email resumes to Jack Kelly at Jack@ComplianceSearch.com