- Conduct compliance testing and reviews and produce reports thereon.
- Lead ongoing risk assessments of compliance policies and procedures.
- Support the preparation of quarterly and annual compliance reports.
- Assist with the implementation, execution, and management of the Compliance Department's activities, specifically monitoring and oversight.
- Ensure that business areas meet and maintain compliance requirements by preparing and reviewing new policies, procedures, and training materials.
- Establish and maintain effective relationships with business partners and service providers.
- Track service providers' compliance policies and procedures and summarize.
- Assess the adequacy of service providers' compliance policies and procedures and summarize.
- Support examinations and respond as necessary to client inquiries.
- Performs other duties as required.
- Some travel involved.
- Bachelor's degree required
- 4-7+ years of related Compliance experience
- Minimum 3 years of experience with Investment Company Act Experience required
- Fund CCO Experience
- Series 7, 24 preferred
- Detail-oriented with strong written and oral communication skills
- Working knowledge of Microsoft Office, Word, Excel, and PowerPoint
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Compliance Director - Glen Mills, United States - Juno Search Partners
Description
Our client, a financial services firm in the Glen Mills, PA area, is seeking a Compliance Director to join their growing team. This role will act as an outsourced Chief Compliance Officer by supporting the administration of compliance for clients including Registered Investment Advisors, Funds and Broker Dealers.
Duties include, but not limited to:
Qualifications:
Juno is an Equal Opportunity Employer that provides equal opportunities to all employees and applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, age, national origin, disability, genetic predisposition or carrier status, or any other characteristic protected by federal, state or local law. The Company is committed to this policy with respect to recruitment, hiring, placement, promotion, transfer, training, compensation, benefits, employee activities and general treatment during employment. It's expected that all employees are aware of this policy and that they create an environment that's sensitive and respectful to all individuals.
