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Compliance Officer covering Registered Investment Adviser / ETF Platform
at The Compliance Search Group in New York
Compliance Officer covering Registered Investment Adviser / ETF Platform
Vice President
The person performing this trading desk advisory position will be designated as the Chief Compliance Officer responsible for implementing and managing the overall compliance program for the Registered Investment Adviser and ETF platform operated by the Global Markets Structuring business line. The business group manages a platform of Exchange Traded Funds investing in Commodity, Currency, and Security indices.
Responsibilities:
• Implementing and managing the compliance program for this Business Area in a manner designed to meet SEC 38a-1 and 206 (4)-7 regulatory requirements and industry best practices.
• Maintain and enforce written Code of Ethics program, including determination of access persons, oversight of access person trading activity, review of quarterly filings to ensure completion by all access personnel and to review for any violations.
• Identifying regulatory trends and developments, advising business staff as to how this may impact their current activities, and working with supervisors to implement any required changes to current policy / practice.
• Drafting and updating policies and procedures.
• Participating in internal investigations, responding to regulatory inquiries, and coordinating internal and external audits and inspections.
• Interacting with regulatory agencies and exchanges.
• Providing regulatory/compliance training as needed.
Level of skills, abilities and knowledge:
• 5+ years of experience in the compliance function of a Registered Investment Adviser, or law firm.
• Bachelor’s degree.
• Strong knowledge of the Investment Advisers and Investment Company Act of 1940 and other applicable federal laws, rules and regulations.
• Excellent oral and written communication skills.
• Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced trading floor environment.
• Ability to project confidence and professionalism in all dealings with business personnel.
• Experience in an investment banking environment a plus.
• Product knowledge as to commodities, foreign exchange, commercial real estate and futures markets a strong plus.
• Knowledge of the Commodity Exchange Act and CFTC Regulations pertaining to Commodity Pool Operators and Commodity Trading Advisors a strong plus.
• Experience with other structured products, such as currency and commodity linked notes (including ETNs) a plus.
Please email resumes to Jack Kelly – jkelly@ComplianceSearch.com
Vice President
The person performing this trading desk advisory position will be designated as the Chief Compliance Officer responsible for implementing and managing the overall compliance program for the Registered Investment Adviser and ETF platform operated by the Global Markets Structuring business line. The business group manages a platform of Exchange Traded Funds investing in Commodity, Currency, and Security indices.
Responsibilities:
• Implementing and managing the compliance program for this Business Area in a manner designed to meet SEC 38a-1 and 206 (4)-7 regulatory requirements and industry best practices.
• Maintain and enforce written Code of Ethics program, including determination of access persons, oversight of access person trading activity, review of quarterly filings to ensure completion by all access personnel and to review for any violations.
• Identifying regulatory trends and developments, advising business staff as to how this may impact their current activities, and working with supervisors to implement any required changes to current policy / practice.
• Drafting and updating policies and procedures.
• Participating in internal investigations, responding to regulatory inquiries, and coordinating internal and external audits and inspections.
• Interacting with regulatory agencies and exchanges.
• Providing regulatory/compliance training as needed.
Level of skills, abilities and knowledge:
• 5+ years of experience in the compliance function of a Registered Investment Adviser, or law firm.
• Bachelor’s degree.
• Strong knowledge of the Investment Advisers and Investment Company Act of 1940 and other applicable federal laws, rules and regulations.
• Excellent oral and written communication skills.
• Ability to make, support and defend difficult and complex regulatory/compliance decisions in a fast-paced trading floor environment.
• Ability to project confidence and professionalism in all dealings with business personnel.
• Experience in an investment banking environment a plus.
• Product knowledge as to commodities, foreign exchange, commercial real estate and futures markets a strong plus.
• Knowledge of the Commodity Exchange Act and CFTC Regulations pertaining to Commodity Pool Operators and Commodity Trading Advisors a strong plus.
• Experience with other structured products, such as currency and commodity linked notes (including ETNs) a plus.
Please email resumes to Jack Kelly – jkelly@ComplianceSearch.com
Published at 25-03-2010
Viewed: 41 times
Viewed: 41 times