Overview

Our client, a fast-growing, dynamic investment management firm, seeks a Compliance Officer that will report to the SVP and General Counsel.

The Compliance professional will be responsible for an array of important matters. He/she will have a high-profile role within the organization. As it’s a mid-sized money management firm, you will have access to the executive management team, portfolio managers, traders and other business leaders.

This type of role will empower you to stand out, learn a lot, and fast-track your career.

Here’s some of what you will be involved with:

  • Create and implement policies and procedures
  • Provide instruction on compliance, client guideline interpretation and regulatory issues 
  • Assess potential areas of compliance liability and risk and help in the creation and execution of corrective action plans for resolution of such liabilities 
  • Advertising and marketing materials review
  • Continuously review current policies, procedures and surveillance activities
  • Conduct reporting on the Code of Ethics and personal trade pre-clearance 
  • Evaluate and file marketing materials 
  • Help conduct employee training 
  • Evaluate various reports and business practices

What the company would like to see in a candidate: 

  • Bachelor’s degree required.
  • A minimum of 7 years of relevant experience
  • FINRA Series 7 should be obtained within 6 months
  • FINRA Series 24 preferred 
  • Experience with operating compliance systems employed in monitoring investment guidelines and restrictions—Charles River
  • Schwab Compliance Technologies experience helpful

If you are interested in this role, please email Jack Kelly at  JKelly@ComplianceSearch.com

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