Compliance Officer/Asset Management

  • Competitive
  • Stamford, CT, USA Stamford CT US
  • Permanent, Full time
  • Dawn Taylor Associates
  • 14 Aug 18 2018-08-14

Compliance Officer with 3+ years of experience to assist with oversight and approval of client marketing materials. Asset Manager has an excellent performance record and is an industry leader.

Our client, a prestigious Fairfield County, CT Asset Manager, seeks a Compliance Officer to assist with oversight and approval of client marketing materials.

Asset Manager has an excellent performance record and is an industry leader.

 

Responsibilities:

 

·       Review and approve client marketing materials

·       Assist with the maintenance of compliance policies and procedures

·       Assist with compliance filing and internal reporting

·       Maintain client marketing materials to ensure compliance with applicable jurisdictions

·       Assist CCO with special projects

 

Qualifications:

  • Bachelor’s degree
  • Law degree preferred

·       3+ years of related SEC experience with an Investment Advisor and knowledge of the Investment Advisor Act 1940

·       Experience reviewing marketing and advertising material

·       MS Word, MS Excel and MS PowerPoint skills

 

 

Please send resumes in confidence by applying below