New job Compliance Officer New York, NY

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Group: JOBS 2.0: Job Search Career Networking Staffing. Post Resume -Get Paid by Employers at Resumark .com Subject: Compliance Officer New York, NY Gerald Elliott posted a job: Compliance Officer New York, NY "Our client is a top financial services firm and they are seeking a Compliance Officer that will be responsible for monitoring compliance policies and marketing approval process. Responsibilities include: · Conduct reviews under the Group’s annual review program pursuant to Rule 206(4)-7 of the Advisers Act which includes conducting reviews of the Group’s policies and procedures as included in the Compliance manual. · Conduct general compliance reviews for the Group, including but not limited to, marketing reviews, personal securities transaction reviews, NAV reconciliation reviews, ERISA monitoring, and investment restriction reviews. · Oversee the marketing approval process. · Prepare Board Reports · Conduct personal trading reviews including preclearance requests · ERISA limit monitoring · Ad hoc projects · General administrative support Qualifications: · Four year college degree · 3-4 years operational (not financial) audit experience · Strong interpersonal skills · High level attention to detail · Excellent communicator at all levels · Able to take initiative and must be able to multi-task. To apply please submit your resume to Info@compliancesearch.com"

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