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Compliance Officer – Investment Management
at The Compliance Search Group in New York
The Compliance Officer will promote and enforce compliance with the various laws and regulations which affect the Investment Management division of a major international financial services firm.
Responsibilities:
The Compliance Officer will create processes to reduce risks, improve efficiency and provide support to the firm’s Multi-Asset Strategies and Solutions team. He or she will oversee implementation and testing of investment guidelines with regards to trust and fund of fund products.
The individual in this role will also assist in the creation of a monitoring program with regards to the selection and oversight of external managers providing services to clients of the firm and will lead the compliance oversight effort with regards to the use of OTC Options, Futures, Total Return Swaps and other complex financial products in Equity accounts. Furthermore, the AVP Compliance Officer is expected to cross train with compliance officers to support mandate compliance and various trading reviews.
Qualifications:
Candidates with undergraduate degrees or equivalent work experience and six or more years experience in a compliance area of an investment advisor are strongly preferred. The firm seeks an individual with knowledge of federal investment advisory rules and regulations and a strong understanding of equity securities, mutual funds, and complex derivatives.
Managing experience in which the candidate has advised management of problem situations and recommended corrective action, or cross trained and coached individuals is valued. Experience preparing documentation and responding to internal/external compliance questions will greatly add to a candidate’s value in this position. Familiarity with Charles River Trading System or the BlackRock Aladdin system is a plus.
Candidates are expected to have excellent verbal and written communication skills and an ability to communicate at all levels inside and outside an organization.
To apply please submit your resume to Jack Kelly - JKelly@complianceSearch.com
Responsibilities:
The Compliance Officer will create processes to reduce risks, improve efficiency and provide support to the firm’s Multi-Asset Strategies and Solutions team. He or she will oversee implementation and testing of investment guidelines with regards to trust and fund of fund products.
The individual in this role will also assist in the creation of a monitoring program with regards to the selection and oversight of external managers providing services to clients of the firm and will lead the compliance oversight effort with regards to the use of OTC Options, Futures, Total Return Swaps and other complex financial products in Equity accounts. Furthermore, the AVP Compliance Officer is expected to cross train with compliance officers to support mandate compliance and various trading reviews.
Qualifications:
Candidates with undergraduate degrees or equivalent work experience and six or more years experience in a compliance area of an investment advisor are strongly preferred. The firm seeks an individual with knowledge of federal investment advisory rules and regulations and a strong understanding of equity securities, mutual funds, and complex derivatives.
Managing experience in which the candidate has advised management of problem situations and recommended corrective action, or cross trained and coached individuals is valued. Experience preparing documentation and responding to internal/external compliance questions will greatly add to a candidate’s value in this position. Familiarity with Charles River Trading System or the BlackRock Aladdin system is a plus.
Candidates are expected to have excellent verbal and written communication skills and an ability to communicate at all levels inside and outside an organization.
To apply please submit your resume to Jack Kelly - JKelly@complianceSearch.com
Published at 24-03-2010
Viewed: 42 times
Viewed: 42 times