Position Summary
The
Senior Compliance Officer assists the Chief Compliance Officer (CCO) in monitoring activities related to two investment advisors, an affiliated mutual fund complex and an affiliated limited purpose broker dealer.
Primary Responsibilities
- Conduct compliance program reviews of the affiliated investment advisor and investment company, selecting various policies and ensuring that the firm is adhering to its policies, while verifying that the policy meets applicable regulatory requirements
- Conduct broker dealer supervisory control reviews
- Working with the CCO, monitor, design and maintain the investment advisers’, mutual fund’s and broker dealer’s compliance system
- Working with the CCO, interact with key business persons to smoothly implement new or revised compliance procedures and policies when and as needed
- Revise (or create) and implement policies and procedures
- Review and approve advertising materials for all affiliated entities
- Review email and other correspondence for compliance with applicable SEC, FINRA or other regulatory requirements
- Review and monitor required blotters and other records
- Manage and monitor the broker dealer’s (and its personnel’s) registration status and requirements
- Manage and monitor the broker dealer’s continuing education programs
- Review and monitor personal securities trading
- Prevent, detect and resolve compliance issues
- Prepare and file required regulatory reports (not including responsibilities of a FINOP)
Qualifications
- Eight plus years of securities compliance experience
- General knowledge of securities industry regulatory requirements
- Good "people skills" - ability to effectively interact with senior or executive management and various levels throughout the organization
- Fixed income compliance experience a plus, basic understanding of fixed income market is a requirement
- Basic understanding of derivative products (ex. Swaps, options, futures) is important
- Understanding of hedge fund distribution and servicing
- Focused attention to detail and highly organized
- In-depth research capability
- Ability to work in team environment
- Excellent verbal and written communication skills
- Bachelor's degree required; emphasis in business, economics, finance or related field strongly preferred
- Series 7 required, Series 24 a strong plus.
- Broker dealer compliance experience an important plus
- Regulatory experience a very strong plus
- Small amount of travel required (projected at one trip per quarter)
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