Compliance Officer

  • Competitive
  • Greenwich, CT, USA
  • Permanent, Full time
  • Green Key Resources
  • 06 Nov 17 2017-11-06

Job Description:

Job description:

Evaluate marketing materials across an array of investment strategies

Proactively audit processes, practices and documents to identify discrepancies

Ensure compliance with regulations and internal policies

Deliver guidance to the business on advertising and performance

Possess and promote knowledge of an asset manager’s compliance culture and department roles

Maintain relevant industry and regulatory knowledge

Offer training to relevant staff on certain compliance policies and procedures

Qualifications:

Bachelor's degree

3-5 years minimum experience reviewing marketing material, preferably with an Investment Adviser or Broker/Dealer

 

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