Asset Manager

Compliance Officer, New York, NY

Compliance Officer (New York, NY): Our client an Asset Manager with $2 Billion in AUM, is seeking an experienced Compliance Officer to join their dynamic and highly cohesive team. This person will be reporting directly to the Chief Compliance Officer and work side-by-side with other compliance professionals within the firm as this is a highly visible position. This person will be responsible for: reviewing advertising and marketing materials; assessing internal compliance risks and potential conflicts of interest; providing guidance to employees on compliance issues, including employee training; and handling all aspects of written compliance policies and procedures. S/he will also: responding to and ensuring compliance with client reporting requirements, including those of domestic and foreign-based investment companies and other clientele; implementing and monitoring pre-/post-trade investment guideline compliance and reporting; reviewing certain trading desk activities, including trade allocations; reviewing various portfolio management processes; monitoring compliance with the firm’s Code of Ethics and related policies and procedures; and finally participating in various projects as needed. The ideal candidate will have a minimum of 6 years of compliance experience at an SEC-registered investment advisor; bachelors degree preferably with a concentration in law, business, finance or accounting; and marketing and advertising review experience, GIPS requirements is a plus. They should also have experience in automated pre and post-trade investment guideline monitoring; understanding of Investment Advisors Act of 1940 and the Investment Company Act of 1940, FINRA, ERISA, CFTC or other US regulatory requirements is a plus. This is a great opportunity for a self-motivated individual with impeccable time management skills, solid written and verbal communication skills; that has the ability to prioritize multiple tasks and works both independently and as part of a team. Interest in attending industry conferences and training opportunities is a must. 

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