Compliance Officer


: $165,260.00 - $165,260.00 /year *

Employment Type

: Full-Time


: Legal

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- Managing pre/post trade surveillance and forensic testing
- Completing periodic compliance reviews (expenses, soft dollars, valuation, restricted list and email surveillance)
- Leading the 206(4)7 annual review process
- Managing the firms Code of Ethics compliance portal and monitoring compliance with the Code with respect to email usage, personal trading, gifts and entertainment and political donations
- Supervising the firms usage of expert networks
- Gathering and analyzing data for the Trade Practices Committee to review soft dollars and best execution
- Conducting new hire/long term consultant/intern training
- Assisting with regulatory inquiries and examinations
- Assisting with the preparation of regulatory filings
- Reviewing marketing and investor materials

-Minimum of 4 years of SEC Registered Investment Adviser (private funds) experience
- Excellent problem solving skills and sound judgment
- Ability to effectively prioritize and execute multiple tasks in a high-pressure/deadline oriented
- Ability to adapt to shifting priorities, demands and timelines
- Self-starter and independent thinker
- Organized with attention to detail
- Strong written and interpersonal communication skills
- Strong proficiency in Excel and PowerPoint

by Jobble

Associated topics: attorney, attorney corporate, compliance, counsel, court, courtroom, internal, lawyer, llp, market * 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.

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