New job Senior Compliance Officer – Investment Management Philadelphia, PA

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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 – Investment Management Philadelphia, PA Gerald Elliott posted a job: Senior Compliance Officer – Investment Management Philadelphia, PA "Our client is a global investment management firm. The company seeks a Compliance professional to implement the firm’s compliance program to ensure that the firm meets its regulatory and fiduciary obligations. Responsibilities include: Team Management Report to and assist the Deputy Head of Compliance - US in the effective operation and management of the Compliance department In conjunction with the Deputy Head of Compliance, assist in the oversight of the compliance program of the firm’s US divisions, including oversight of Investment Advisor, Registered Funds, and Broker Dealer. Assist compliance staff in the performance of their duties. Compliance Monitoring Perform specialized compliance exams based on regulatory requirements, firm policies, contractual obligations and risk factors Review department documentation and observe procedures to ensure that transactions and practices/procedures are compliant with the firm’s Compliance Program and regulatory requirements Participate in the determination and administration of appropriate objectives for the yearly Compliance Audit Plan Contribute to the completion of the Quarterly Review of Registered Funds, Annual Compliance Review of the Adviser and the Annual Compliance Review of the Broker Dealer and their corresponding Reports Oversee trade surveillance and investment guideline monitoring program. Track regulatory changes and co-ordinate projects to track progress of implementing regulation through to completion. Marketing Material Review Assist in the oversight of institutional marketing material review for accuracy and compliance with regulatory and GIPS requirements. Includes assessment of performance charts, citations, etc. Compliance Review Complete questionnaire and review of periodic mutual fund questionnaires, client due diligence requests, and related matters both independently and in conjunction with other departments Review and develop compliance processes, policies, and procedures to demonstrate that the firm has appropriate internal controls Other duties, responsibilities, and special projects as assigned QUALIFICATIONS 5+ years Compliance experience, preferably with experience with investment advisers, mutual funds and broker-dealers. Have an in-depth understanding of the rules and regulations stated in the Investment Advisers Act of 1940, Investment Company Act of 1940 and ERISA. Understanding of the FINRA rules relating to mutual fund distribution and sales of privately placed funds highly preferred. Experience with and knowledge of the principles and practices associated with the securities industry and the applicable regulatory requirements To apply please submit your resume to Info@compliancesearch.com"

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