New job Compliance Manager – Information Provider Company 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: Compliance Manager – Information Provider Company New York Gerald Elliott posted a job: Compliance Manager – Information Provider Company New York "Our client, an information data provider, seeks a Compliance Manager who will be responsible for a variety of key functions required to meet regulatory requirements of the registered investment adviser compliance program of the firm. RESPONSIBILITIES: • Collects and substantively reviews annual and quarterly personal transaction reports and other reports required under the company’s Code of Ethics, with reports to CCO • Maintains and updates Access Person lists, with information from HR, and notifies all new Access Persons of reporting requirements, with follow up to meet regulatory deadlines • Assists in preparing new and revised investment adviser policies and controls, especially for Code of Ethics and Access Person reporting • Assists in testing and monitoring of compliance procedures and controls, and participates in quarterly review meetings with asset class managers • Responsible for tracking client advisories that involve process or control issues, with follow up to ensure business line resolution of issues • Responsible for conducting quarterly email sampling and email reviews, with reports to CCO • Responsible for portions of annual compliance testing, including collection and review of Code of Ethics certifications and other certifications of adherence to policies • On a project by project basis, meets with company personnel to provide Compliance input and representation • Informs CCO of issues identified during duties and makes recommendations for resolution • Prepares/assists with preparation of Compliance training materials • Responds to inquiries from company personnel on compliance matters for which responsible • Maintains Compliance Department files to meet regulatory requirements • Learning compliance requirements in order to provide guidance on regulatory and compliance program requirements in discussions/meetings with company personnel • Producing highly accurate work products • Working with and maintaining confidential material • Working on diverse tasks simultaneously while meeting all regulatory deadlines • Working under own initiative and exercising judgment to assist in determining compliance issues and for prioritizing compliance tasks • Other duties, as assigned from time to time by the CCO QUALIFICATIONS: • Bachelor’s degree and 3-5 years of experience with a securities firm, preferably an investment adviser or mutual fund complex, in a compliance position. Will consider JD's. • Experience with Code of Ethics • Auditing/Testing background • Fixed income securities knowledge or experience a plus. • Proficient in Microsoft • Excellent oral and written communication skills To apply please submit your resume to Info@compliancesearch.com"

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