Compliance Associate

  • DOE
  • New York, NY, USA
  • Permanent, Full time
  • Robert Half - US
  • 26 Sep 16

Robert Half Financial Services is currently recruiting for a Compliance Associate who will oversee trading in mutual funds and registered investment vehicles. The Compliance Associate will monitor exposure and review compliance alerts generated by systems. The Compliance Associate will also help out with regulatory filings and internal audits.

Robert Half Financial Services is currently recruiting for a Compliance Associate who will oversee trading in mutual funds and registered investment vehicles.  The Compliance Associate will monitor exposure and review compliance alerts generated by systems.  The Compliance Associate will also help out with regulatory filings and internal audits.

 

***Interested candidates please send resumes to john.ciglar@roberthalffs.com***

 

- 5+ years of experience at an asset manager, broker-dealer or capital markets firm

- Strong organizational and project management skills

- Great communication skills

- Knowledge of Investment Advisers Act of 1940 and Investment Company Act of 1940