Asset Manager

Compliance Manager , New York, NY

Compliance Manager (New York, NY): Our client, a global asset management firm with $4B AUM, is seeking a Compliance Manager to join their investment firm.  The Manager will work closely with the Chief Compliance Officer within the legal and compliance team and will have the opportunity to shape and implement processes that are vital to the organization. This role sits within an established and successful business that has a strong reputation in the industry for taking care of its employees as well as promoting from within; the role is open due to an internal move.  The Compliance Manager will work on a lean and collaborative team alongside of six other individuals.  Primary responsibilities will include developing and administering the core compliance program and management systems; prepare regular and ad hoc regulatory filings and field investor and regulator inquires; implement technological solutions to enhance the compliance infrastructure; train staff on compliance and reinforce the Code of Ethics. The ideal candidate will have a Bachelor’s degree from a top tier university and 5+ years of experience at an SEC-registered broker dealer, investment adviser, or similar financial institution. The candidate should also have meticulous Excel skills and data analysis, a collaborative and motivated disposition with a strong drive for problem solving, and a demonstrated ability to guide multifaceted projects and resolve complex issues. Knowledge of Unix environments or coding preferred.

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