New job Senior Compliance Analyst (40 Act\Adviser Act) New Jersey

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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 Analyst (40 Act\Adviser Act) New Jersey Gerald Elliott posted a job: Senior Compliance Analyst (40 Act\Adviser Act) New Jersey "Our client, a top-tier financial services firm, seeks a Senior Compliance Analyst with 40 Act experience. This individual will be part of a team that is responsible for administering the compliance programs for the firm’s proprietary mutual funds and their investment adviser and for overseeing the compliance programs of the sub-advisers to the firm’s mutual funds, the funds’ service providers, and third-party money managers hired by the firm’s Corporate Benefit Funding and Investments Dept. Specifically, this associate will be responsible for reviewing compliance policies and procedures, quarterly certifications, and due diligence questionnaire responses from third-party money managers and assessing whether they meet the standards set forth by the firm’s Investments Compliance Unit, following up with the third-party money managers to resolve questions or issues raised by their submissions. This associate will also be responsible for preparing material for our annual compliance report and for preparing quarterly mutual fund board materials. This associate will also play a key role in the day-to-day administration of the compliance risk management program related to these business units, by maintaining the inventory of laws, overseeing compliance controls, such as personal trading oversight, and conducting ongoing monitoring and testing of controls in place designed to ensure compliance with the Investment Advisers Act of 1940 and the Investment Company Act of 1940. The ideal candidate should have 2 -4 years experience with an asset management firm in a compliance or operations capacity. Principal Responsibilities: • Review of compliance policies and procedures, quarterly certifications, and due diligence questionnaire responses to determine adequacy • Oversee personal trading of access persons through automated system • Maintain Compliance Risk Management program elements, such as inventory of laws and documentation of compliance controls • Conduct quarterly risk assessment of control environment • Maintain Quarterly Board Matters report • Project manage and track short and long-term IC task list • Organize and maintain materials to be reported to boards for annual contract renewal process • Assist with the sub-adviser due diligence process • Assist with sub-adviser specific requests and questions • Keep updated on relevant SEC developments and industry best practices • Maintain IC electronic files including maintenance of compliance policies and procedures • Special projects as requested • Some travel may be required Qualifications: • 2 - 4 years investment compliance or operations experience with an asset management firm • Working knowledge of the Investment Company Act of 1940 and Investment Adviser Act of 1940. To apply please submit your resume to Info@compliancesearch.com"

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