Available Positions

Compliance Officer at Investment Management in New York City, New York, United States — $105K-$110K

  • Financial Services
  • Investment Management
  • $105K-$110K
  • New York City, New York, United States
  • 8/3/20

Job ID: 36361

Job Description

Aid Chief Compliance Officer and management on compliance matters

Help develop and execute policies designed to detect violations of federal laws

Conduct reviews to assess compliance and operational risks

Lead portions of period and annual risk testing processes

Review various reports and business practices against existing policies

Provide guidance to the business on compliance and regulatory issues

Conduct portfolio reviews and create portfolio tests

Manage the identification and tracking of regulatory changes

Identify potential areas of compliance vulnerability and risks

Continuously review current policies, procedures and surveillance activities to seek to modify and improve the compliance program

Work on regulatory related inquiries and examinations

Assist with the development and implementation of relevant employee training


2+ years of compliance, risk management, or auditing experience

FINRA Series 7/63 and 24 and required

Knowledge in internal control and risk management

Asset management industry experience, including mutual fund business

Experience with assessing risks  and developing controls to address risks

Experience working with the Charles River trade system

Experience reviewing advertising material for compliance with FINRA regulations

Knowledge of SEC and FINRA regulations required

Experienced with coding and operating compliance systems employed in monitoring investment guidelines and restrictions (e.g., Charles River)

Proficiency in Microsoft Office products, in particular Excel


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