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Job Details

Director- Compliance- Investment Advisor

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Job #: 10577
Status: Inactive / Filled
Title: Director- Compliance- Investment Advisor
Job Location: NY-Manhattan
Mid-Atlantic (DE, DC, MD, NJ, NY, PA, VA & WV)
Job Categories: Investments & Securities; Wealth Management - Asset & Investment
Industries: None
Base Compensation:
Low: $150,000       High: $180,000
Total Compensation:
Low: $180,000       High: $240,000
Overnight Travel: None Listed
Is Employer Willing to Relocate?: No
Employment Type: Full Time / Direct Hire
Why is This a Great Opportunity?
A unique oppurtunity to join the compliance team at a global investment bank with a growing NYC presence.
Job Description:
The key function of Compliance is to work with management to identify and manage regulatory and reputational risk. This includes advising business in relation to the application of particular transactions, rules, policies, as well as training, surveillance, registration, personal account dealing, Chinese wall and conflict issues. Main Duties * Develop, implement and manage the compliance function for the institutional arm of a registered investment advisor, liaise with global partners; * Analyze, recommend and implement policies and procedures to ensure compliance with the Investment Advisor’s Act of 1940 ("IA Act"). * Review and revise the compliance policies and procedures manual as appropriate. * Review and approve marketing material; * Ensure a proper supervisory framework is maintained * Working knowledge of the IA Act specific to marketing and sales materials. * Work closely with internal counsel in reviewing new products and product developments as well as new legislation and rules and drafting of policies and procedures. * Conduct in-house reviews to test compliance policies and procedures and coordinate follow up action by the business. * Conduct compliance training for all business personnel. * Implement the Adviser’s code of ethics and employee trading policies; * Assist on regulatory exams and handle requests for information on compliance related matters.
Mandatory Minimum Qualifications - Must Have: Person Requirements * Bachelor’s degree or equivalent experience required; law degree a plus * Ten plus years of investment advisory compliance and/or experience working with a medium to large sized financial services firm with diverse businesses * Knowledge of the IA Act, NASD rules and regulations as well as ERISA
Education: None
Certifications: None
Licenses: None
Total Years of Experience: 11-15+
Years of Experience in Present Position: 1-2+
First Name:
Last Name:
E-mail Address:


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