This job ad has been posted over 40 days ago...
Compliance Analyst
at The Compliance Search Group in SANTA MONICA, CA
Well regarded asset management business seeks a Senior Compliance Analyst. Business of the firm includes management of separate accounts, private funds, and registered funds across a wide range of disciplines, including fixed income, equity and alternative investments. Clients of the firm include insurance companies, other institutions, pension plans and pooled investment vehicles. This position reports to the Chief Compliance Officer.
Responsibilities:
The Compliance Analyst will draft compliance policies and procedures and training materials for investment management staff as needed. He or she will also review marketing materials, requests for proposals, and client/prospect presentations for compliance with applicable rules, regulations, and advisor policies and procedures. Responsibilities for this role also include: email surveillance; monitoring Code of Ethics process on the firm’s electronic trade reporting system; regulatory filings including Form ADV Part I; annual review of firm pursuant to Rule 206(4)-7; and regulatory or internal audits as necessary. The Compliance Analyst will work closely with the Chief Compliance Officer, the firm’s portfolio managers, research staff and operations staff.
Experience and Qualifications:
The ideal candidate will have 2-3 years of investment management experience; understanding of the Investment Advisers Act of 1940 and working knowledge of the Investment Company Act of 1940 and ERISA. Preferably, the candidate will have a JD and experience with fixed income asset management. Experience with internal audit or related processes is desired and the candidate must have strong writing, analytical, and communication skills.
To apply please submit your resume to Jack Kelly - JKelly@compliancesearch.com
Responsibilities:
The Compliance Analyst will draft compliance policies and procedures and training materials for investment management staff as needed. He or she will also review marketing materials, requests for proposals, and client/prospect presentations for compliance with applicable rules, regulations, and advisor policies and procedures. Responsibilities for this role also include: email surveillance; monitoring Code of Ethics process on the firm’s electronic trade reporting system; regulatory filings including Form ADV Part I; annual review of firm pursuant to Rule 206(4)-7; and regulatory or internal audits as necessary. The Compliance Analyst will work closely with the Chief Compliance Officer, the firm’s portfolio managers, research staff and operations staff.
Experience and Qualifications:
The ideal candidate will have 2-3 years of investment management experience; understanding of the Investment Advisers Act of 1940 and working knowledge of the Investment Company Act of 1940 and ERISA. Preferably, the candidate will have a JD and experience with fixed income asset management. Experience with internal audit or related processes is desired and the candidate must have strong writing, analytical, and communication skills.
To apply please submit your resume to Jack Kelly - JKelly@compliancesearch.com
Published at 26-03-2010
Viewed: 46 times
Viewed: 46 times