New job Senior Compliance Officer 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: Senior Compliance Officer New York, NY Gerald Elliott posted a job: Senior Compliance Officer New York, NY "Top-tier financial services firm is seeking a Senior Compliance Officer to assist the Director of Global Compliance with day-to-day administrative and compliance requirements. Responsibilities include: · Marketing review · Compliance reviews covering all aspects of the firm’s business including those outside the US · Oversight of broker-dealer branch office requirements · Policy writing · Regulatory Filings · AML · Training · Ad-hoc special products Oversight of the Group’s annual review program pursuant to Rule 206(4)-7 of the Advisers Act which includes conducting reviews of the Group’s policies and procedures as included in the Compliance Manual. · Establish a risk based review plan to meet review cycle requirements · Perform testing of compliance related controls to determine effectiveness · Prepare audit report and supporting documentation · Draft preliminary recommendations for corrective action based on review findings · Follow-up on action plans to verify that corrective action has been effectively implemented · Provide necessary training and assistance to other members of the team to ensure they are able to plan and conduct compliance reviews as well as identify and evaluate non-compliance issues Review audit reports prepared by members of the team Qualifications: · Excellent academic credentials · Minimum of 6-8 years experience with a registered investment adviser/hedge fund · Investment Management/Investment Funds experience · Series 7 and 24 a plus · Analysis, planning and problem solving skills · Superior organizational skills · Training skills · High level attention to detail · Excellent communicator at all levels · Must know Microsoft Windows and Office · Able to take initiative and must be able to multi-task. To apply please submit your resume to Info@compliancesearch.com"

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