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Compliance Manager
Job description
A Top Asset Management firm is looking for a Compliance Manager as a new addition to the team. This is a great role for an individual with 5+ years of related experience looking for opportunity to take ownership of the Compliance function, within an established company that continues to grow organically.
Compensation & Benefits
- Strong base pay
- Bonus
- Profit Sharing
- Opportunities for growth & professional development
- Health / Dental / Vision / 401k
- Fantastic company culture
- Hybrid work model
Responsibilities
- Establish and maintain compliance rules in the core compliance engine
- Maintain up to date understanding of new and proposed regulations to determine applicability to the firm based on a thorough understanding of the current business model
- Preparation of monthly and quarterly reports
- Support daily monitoring of pre and post trade activities for specific equity, fixed income and alternative funds and accounts, including complex investment strategies
- Reporting of beneficial ownership in an accurate and timely manner
- Work with Compliance leadership to ensure relevant regulatory filings including form ADV
- Review and updating compliance policies and procedures
- Assisting with investment compliance
- Review and approving of marketing materials
- Identify and resolve potential material non-public information and information barrier matters
- Provide management with information on current trends and issues recognized during assignments and recommend plans for improvement
- Participate in and leading strategic initiatives within the team and in partnership with various business partners
Requirements
- 5-10 years of relevant experience
- Bachelor's degree in Finance, Accounting, Economics, or related field preferred
- Experience in the financial services industry, compliance and/or operations
- Regulatory and policy experience a plus
- Ability to business partner across departments & levels, as well as with the leadership team, and external parties
- Interest in growth & promotion with the firm
