Associate Director

  • $160-300k
  • New York, NY, USA
  • Permanent, Full time
  • Green Key Resources
  • 19 Sep 16

Job Description:

  • Lead a team of compliance professionals
  • Advise clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other pertinent regulatory instructions
  • Review firm marketing and advertising materials for compliance
  • Support clients in the performance of compliance functions
  • Prepare mandatory regulatory filings, for US and international clients
  • Review client and account documentation for anti-money laundering agreement
  • Conduct training of our clients' employees and management
  • Design testing systems to insure the efficacy of controls and surveillance programs
  • Complete other compliance-related responsibilities and special projects

Qualifications:

  • J.D. and SEC experience preferred
  • 6+  years of relevant compliance experience at a registered investment adviser, law firm, or investment consulting firm
  • Experience practicing law regarding registered investment companies preferred
  • Strong working knowledge of the Investment Advisers Act of 1940 and the Investment Companies Act of 1940,
  • Knowledge of SEC Exam practices, experience with SEC exams and mock exams Knowledge of CFTC / NFA as well as FINRA requirements is a plus