Regulatory Compliance Manager

Profile

Regulatory Compliance Manager
The candidate responsibilities will include : Advising clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directives; Advising on and reviewing firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements. Assist clients in the performance of compliance functions, such as oversight of personal trading, email review, the monitoring of firm trading activities and maintaining restricted lists. Preparation and filing of required regulatory filings, for US and international clients. Review of client and account documentation for anti-money laundering compliance. Review, assess, devise, and conduct training of our clients' employees and management, according to client needs, particularly regarding the Advisers Act, including training on insider trading, custody, conflicts of interest (i.e. allocations, Pay-to-Play, gifts and entertainment, and cross trades), and valuation. Design and monitor testing systems to insure the efficacy of controls and surveillance programs, including the consultation and implementation of relevant technology and technology infrastructure. Perform other compliance-related responsibilities and special projects as needed. Bachelor's Degree Required. Must have 3-5 years of relevant compliance experience at a registered investment adviser, law firm, or investment consulting firm, experience practicing law regarding registered investment companies preferred. Should have strong working knowledge of the IA Act of 1940 and the ICA of 1940. Knowledge of SEC Exam practices, experience with SEC exams and mock exams preferred. Knowledge of CFTC / NFA as well as FINRA requirements is a plus. JD Preferred.

Company info

Sign Up Now - MiamiCrossing.com