Our client, a major asset management firm, is looking for a Compliance Officer reporting into the Deputy CCO.
- Review regulatory developments and assist in implementing procedures to ensure platform compliance with all applicable rules and regulations
- Review and develop compliance processes, policies, and procedures to demonstrate that the firm has appropriate internal controls
- Designing and implementing compliance training programs for various business units and professionals
- Assist with obtaining and maintaining regulatory licenses and registrations on a global basis
- Implementing a vendor risk assessment and oversight program
- Assist in preparing for and responding to regulatory inquiries and examinations
- Assisting with compliance testing and mock audits
- Review and complete periodic client/investor questionnaires, client due diligence requests, and related matters both independently and in conjunction with other departments
- Maintain compliance calendar and project-manage departmental initiatives
- Assisting with completion of various regulatory filings, including Form ADV and Form PF
- 3-6 years of compliance experience in compliance
- Previous experience in policy and procedure drafting along with trade surveillance highly preferred
- Excellent written and verbal communication skills
Note: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, we will keep your resume on file for future opportunities and may contact you for further discussion.