Wednesday, November 9, 2011

New job Deputy Director of Compliance -Mutual Funds New York, NY

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Subject: Deputy Director of Compliance -Mutual Funds New York, NY

Gerald Elliott posted a job: Deputy Director of Compliance -Mutual Funds New York, NY

"Our client is a top-tier global asset management firm and they are seeking a Deputy Director of Compliance for their Mutual Funds business. Responsibilities: - Work regularly with other divisional CCOs and Legal staff in developing and implementing global policies and procedures. - Assist the CCO in the development and administration of the Rule 38a-1 and Rule 206(4)-7 compliance programs; help define and develop risk parameters, implement the programs and review the final reports. - Assist in the analysis, development and implementation of policies and procedures to ensure compliance with various regulations including the Investment Company Act and Investment Advisers Act of 1940, and Undertakings for Collective Investments in Transferable Securities Regulations (UCITS); as well as those relating to the FINRA broker-dealer supervisory program. - Serve as back-up or proxy for CCO participation on various firm and Board related Committees - Assist the CCO in the annual review and amendments to Form ADV and Form BD. - Liaise with senior business personnel regarding special projects and regulatory initiatives; provide guidance and analysis of rules and/or firm policies as appropriate. - Provide compliance guidance relating to new product development initiatives; serve as a member of product development team ensuring that potential compliance risks are identified, compliance processes and systems are developed and implemented. - Provide Compliance oversight and guidance to Valuation processes including: review of pricing policies and procedures, participation in Fair Value reviews and due diligence reviews with service providers - Assist in the periodic review of fund and/or strategy marketing material, requests for proposal and other materials relating to prospective and current client communications. - Serve as a resource to the various fund support areas (Fund Administration, Shareholder Servicing, Guideline Oversight/Business Control, Legal and Sales Administration in providing feedback on issues and matters.) Qualifications: - Minimum of ten years of compliance experience relating to the Investment Company Act of 1940 and/or Investment Advisors Act of 1940 with knowledge of the Securities Acts of 1933 and 1934. - Candidate must have a masters degree; JD a plus. - Candidate must be functioning as a compliance officer with at least two years of management experience and be accustomed to: working independently, leading large scale projects to completion and functioning as a member of a team. - Experience with both equity and fixed-income securities products and Undertakings for Collective Investment in Transferable Securities (UCIT) portfolios. - Experience with alternative strategies (including derivatives, futures, commodities) products is a plus. - Experience working with and presenting to Boards of Directors and/or other senior management is a plus. - Experience working within a firm with diverse businesses (e.g., broker-dealer, investment adviser, investment companies preferred). - Experience with portfolio management systems and/or compliance monitoring systems for use in monitoring and reporting account activity; Knowledge of compliance tools such as Charles River or similar portfolio compliance monitoring system a plus. - SEC and/or NASD regulatory experience within the financial services industry a plus. To apply please submit your resume to Info@compliancesearch.com"

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