Senior Compliance Officer - Greenwich, United States - Larson Maddox

Description

A global investment firm in NYC is looking for a Senior Compliance Officer to join their team.

The Senior Compliance Officer will work alongside the Chief Compliance Officer to oversee the firm's public markets trading compliance program.

This role will be performed on a hybrid schedule.

Responsibilities :
Manage firm's compliance testing program
Administer firm's compliance policies and procedures
Administer Code of Ethics
Review employee request approvals including gifts and entertainment, outside business activities and political contributions.
Manager personal trade reviews
Requirements
7+ years of relevant compliance experience
Bachelor's Degree required, JD a plus
Experience and knowledge of securities acts
Knowledge of SEC, CFTC & NFA rules and regulations
**Compensation will depend on YOE

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