Compliance Officer/Asset Management
- 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.
· 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
- 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