Overview

Job Summary: 

An asset management firm is seeking an experienced compliance professional to join a dynamic regulatory compliance team. This position is responsible for reviewing and approving marketing materials. The associate will also assist in the administration of the firm’s personal trading policy and electronic communications reviews. The ideal candidate would be willing to grow professionally, and adopt progressively higher responsibilities to build his or her career.

Major Responsibilities/Activities:

  • Performs timely review and approval of all marketing materials and communications utilizing AdMaster, and maintain this material review system (i.e. workflows, disclosures, profiles, etc).
    • Assists in the administration of the firm’s Code of Ethics program, including personal trading, gifts and entertainment, outside business activities and political contributions.
  • Assist with the automated employee surveillance review system.
  • Aid with periodic audits, risk assessments and compliance reviews
    • Conduct OFAC/ SDN checks of employees, clients, vendors and other business partners.
  • Review RFPs, due diligence questionnaires and other client communications.
    • Draft and update policies and procedures; update compliance manuals as necessary.
    • Assist with FINRA licensing, including registration of associated persons and ongoing continuing education.
    • Perform other compliance-related responsibilities and special projects as needed.

Qualifications: 

  • Bachelor’s degree and minimum 3 years compliance experience.
    • Series 7, 24 licenses preferred.
    • Knowledge of Investment Adviser and Broker Dealer regulations.
    • Basic knowledge of Marketing and Regulatory Compliance regulations and review of marketing materials.
    • Proficient in Microsoft Office; experience with AdMaster, PTA and Global Relay is a plus.

Please send resumes to Jack@compliancesearch.com 

 

Upload your CV/resume or any other relevant file. Max. file size: 50 MB.