New job Senior Compliance Manager/ Deputy Compliance Director New York

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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 Manager/ Deputy Compliance Director New York Gerald Elliott posted a job: Senior Compliance Manager/ Deputy Compliance Director New York "Our client, a top-tier asset management firm seeks a Senior Compliance Manager. This position requires extensive knowledge of US securities regulation. The successful candidate must be able to provide advice within the business relating to US regulation of investment advisers, broker dealers, commodity trading advisers and investment companies. The candidate must be capable of interacting with business heads up to the most senior levels both in the US and globally, including Compliance in London, and provide advice, training or succinct explanations of US securities regulation. The candidate must have the ability to make practical judgment based on securities regulation and knowledge of the advisory business. The successful candidate must be able to analyze new regulation and draft or edit compliance procedures. Candidate must be able to work independently and possess judgment about when issues need to be escalated to the Americas Chief Compliance Officer or General Counsel. Candidate must have familiarity with compliance monitoring and testing programs and be able to assist in the design of testing programs. Responsibilities: Responsibilities may include all areas of maintaining an investment advisory, commodity trading adviser and broker-dealer compliance program including: * Provide advice by phone and e-mail to business and compliance colleagues in a large multi-national investment adviser. * Planning, updating and documenting the results of periodic monitoring and testing program; may include designing or refining measures to monitor areas required by new regulation. * Writing clear and concise reports for use by senior management, mutual fund Boards of Trustees, or to prime advisers in sub advisory relationships describing the monitoring program and the results from testing. * Acting as liaison with auditors—internal and external—and regulators to produce documentation of the compliance program. * Maintaining and updating compliance manuals for a registered investment adviser, its affiliated broker dealer and drafting new policies as necessary. * Reviewing and/or supervising the review of program areas including employee personal securities, soft dollar compliance, RFP and marketing documents, Anti-money laundering and advisory reporting including Form ADV, Form 13F, Forms 13 D and 13G and Form 13H. * Performing or assisting in performing annual reviews of the Investment Adviser and conducting mock SEC audits as needed. * Preparing, editing or supervising the editing of reports describing errors and omissions and measures being employed to prevent recurrence of errors. * Reviewing marketing material in light of the restrictions contained in the Advisers Act, FINRA regulation, and NFA Rules. * Analyzing the business and compliance impact of regulatory change, collaborating with relevant business management and Compliance colleagues on the actions or projects to be undertaken and educating and training relevant business management and staff. Position Requirements: * Extensive knowledge of SEC advisory regulation. * Experience in a global business whether headquartered in the US or London. * Knowledge of commodities regulation. * Knowledge of mutual fund regulation. * Knowledge of ERISA law as it pertains to professional managers. * Familiarity with the global regulatory reform agenda relevant to asset management businesses, especially that being executed in the US under the Dodd Frank legislation. * Superior communication skills, written and spoken, for both one to one and larger audiences. * Knowledge and experience in preparing for or conducting SEC examination. * 8- 12 years of experience working within an Investment Adviser and/or securities regulators. * Law degree or extensive SEC advisory examination experience preferred. To apply please submit your resume to Info@compliancesearch.com"

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