Senior Compliance Associate

New York, NY

Our client, a $30B+ asset management firm in NYC, is looking for a Senior Compliance Associate to join a team of 5 – manages 2 Staff and reports into the CCO.

 

 

Responsibilities

 

 

  • 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
  • Design and implement compliance training programs for various business units and professionals
  • Assist with obtaining and maintaining regulatory licenses and registrations on a global basis
  • Implement a vendor risk assessment and oversight program
  • Assist in preparing for and responding to regulatory inquiries and examinations
  • Assist with compliance testing and mock audits
  • Review and complete periodic client/investor questionnaires, client due diligence requests
  • Maintain compliance calendar and project-manage departmental initiatives
  • Assist with completion of various regulatory filings, including Form ADV and Form PF

 

 

Qualifications

 

 

  • Must have experience from a compliance perspective with deals/transactions.
  • Strong writing skills required.

 

 

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.

 

#LI-NM1

Date Posted 4/11/2018
Salary Open






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