Compliance Officer

  • $85-175K
  • New York, NY, USA
  • Permanent, Full time
  • Green Key Resources
  • 26 Sep 16

Job Description:

  • Aid SVP, Chief Compliance Officer and administration on compliance and supervisory matters
  • Help progress and implement policies and procedures
  • Conduct reviews to measure compliance and functioning risks
  • Assess reports and business practices to suggest modifications
  • Deliver guidance to the business on compliance, client guideline interpretation and regulatory issues
  • Conduct collection reviews and create portfolio tests
  • Manage the identification and trailing regulatory changes
  • Identify potential areas of compliance vulnerability and risk and aid in development and implementation of  corrective action plans
  • Administer reporting on the Code of Ethics and personal trade pre-clearance
  • Work on regulatory related inquiries and examinations
  • Assist with the development and implementation of relevant employee training


  • Undergraduate degree or an equivalent combination of training and experience
  • 5+ years of compliance, risk management, or auditing experience
  • Knowledge in internal control and risk management essential
  • Asset management industry experience, ie. mutual fund business preferred
  • Experience with assessing risks at an investment management firm
  • Experience working with the Charles River trade system
  • Experience reviewing advertising material for compliance with FINRA regulations
  • FINRA Series 7 and 24 and preferred
  • Knowledge of Investment Company Act of 1940, Investment Advisers Act of 1940 and FINRA Rules and Regulations
  • Knowledge of SEC and FINRA regulations required
  • Experienced with coding and operating compliance systems employed in monitoring investment guidelines and restrictions (e.g., Charles River)
  • Proficiency in Microsoft Office products, in particular Excel