lawnetwork | Chief Compliance Officer in Saint Albans, NY

Chief Compliance Officer

  • Dawn Taylor Associates
  • $178,775.00 - 178,775.00 / Year *
  • 195-0 114th Rd
  • Saint Albans, NY 11412
  • Full-Time
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Chief Compliance Officer for our client, a prestigious global investment advisory firm for their New York City office. Responsibilities: Oversee all aspects of compliance related to the operation of an SEC registered U.S. Investment Advisor and international compliance programs Ensure business meets requirements of the Rules and Regulations of the U.S. Investment Advisors Act 1940, as well as other relevant U.S. regulations including Securities Act 1933, Securities Exchange Act 1934, ERISA Maintain and update Risk oversight of policies and procedures including Forensic Testing Complete and maintain SEC regulatory filings and disclosure documents Develop and implement compliance training programs Prepare committee reporting and compliance assessments on an annual basis Oversee compliance standards, requirements and expectations of firm Coordinate approval of client marketing materials, presentations and commentaries Liaise with Senior Management in a range of ongoing business initiatives Job Requirements: 10 -15+ years of Financial Services Legal or Compliance experience, buy-side compliance preferred Strong knowledge of U.S. Investment Advisor Act 1940 as wells as other relevant SEC, CFTC/NFA, FCA and AMF regulations Knowledge of Investment Company Act, 33 Act, 34 Act and ERISA as applicable to Investment Advisory business focusing on institutional clients
Associated topics: business, compliance, compliance department, compliance office, counsel, courtroom, internal, lawyer, legal, legal affairs


* The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.