No more applications are being accepted for this job
- Strong knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940 is required.
- Testing & Monitoring
- Policies & Procedures
- Code of Ethics
- Licensing & Registrations
- Cross-Border / International Compliance
- Marketing Review
- Trade/Portfolio Compliance
- Employee Surveillance
- Regulatory Inquiries/Audits
- A strong academic pedigree from a top university
Compliance Officer - New York, United States - eFinancialCareers
Description
This strategic hire will play a key role in running the day-to-day compliance program as the firm continues to build a best-in-class compliance team.
The ideal candidate will have:
The position will suit a highly motivated and entrepreneurial individual looking to work at a firm renowned for innovation and integrity.
A highly competitive compensation package is on offer.
For a discussion in confidence, please apply with your resume.