New job Compliance Specialist for Broker-Dealer Division of Asset Management Firm New York, NY

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Group: JOBS 2.0: Job Search Career Networking Staffing. Post Resume -Get Paid by Employers at Resumark .com Subject: Compliance Specialist for Broker-Dealer Division of Asset Management Firm New York, NY Gerald Elliott posted a job: Compliance Specialist for Broker-Dealer Division of Asset Management Firm New York, NY "Top-tier investment management firm is seeking a Senior Compliance Specialist who will be responsible for developing and performing risk-based testing of documented policies and procedures throughout the enterprise by performing test work within deadlines, documenting results and identifying and escalating potential issues. Other Responsibilities include: • Responding to and addressing inquiries from various business units throughout the enterprise to assure compliance with the applicable laws, regulations and Firm policy and procedures. • Leading ad hoc compliance projects and initiatives: from setting scope, initiation to completion. Including project analysis, planning, testing and implementation • Establish and maintain a collaborative working relationship with Legal Department, IA, BD, Retirement and TA related business functions • Conducting employee training • Preparing metrics and other compliance reports for CCO, senior management and the Board of Directors • Researching and communicating information to Compliance team and employees regarding new applicable regulations, compliance related topics, including but not limited to: political contributions, code of ethics, internal controls, gift and entertainment policy Qualifications: • 3+ years of regulatory, broker-dealer or investment management firm experience and working knowledge of the IC Act, IA Act, Exchange Act, FINRA Rules and other applicable federal and state regulations required • Familiarity with diverse financial products such as RIC, private funds, SMA, trusts, retirement and 529 plans • Series 7, Series 24 a plus To apply please submit your resume to Info@compliancesearch.com"

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