Robert Half Financial Services are recruiting for an Investment Compliance Analyst AND Associate roles within a global Asset Manager located in midtown Manhattan New York. Our client requires at least 1 to 3 or 4-7+ years’ Investment Compliance experience with knowledge of SEC/FINRA Regulations, Policy/Procedure drafting, Compliance Testing, Form ADV/PF. **This role is initially fully remote during the pandemic but will eventually be full time back in the office**
- Distribution, maintenance and supervision of the Compliance/Risk Management Program, with adherence to relevant policies and procedures.
- Assisting the CCO ensuring compliance with applicable Regulations (SEC/FINRA), regulatory and compliance filings, monitoring and compliance testing.
- Collaborate with the stakeholders and business to resolve compliance issues.
- Develop and maintain strong knowledge of laws, regulations and industry best practices that may impact the firm’s business. Assist CCO and Compliance team with monitoring relevant developments and filing schedules.
- Assist with regulatory examinations, inquiries and other data requests.
- Assist with internal and external reviews including AML, 206(4)-7 review and annual audits.
- 1 to 3 or 4-7+ years’ Investment Compliance experience at an Asset Manager or Hedge Fund.
- Knowledge of SEC/FINRA Regulations, Policy/Procedure drafting, Compliance Testing, Form ADV/PF.
- Business-related four year college degree; accounting or finance emphasis preferred.
This Investment Compliance Analyst and Associate roles are located in midtown Manhattan New York so please only apply if you are able to travel to this location, have relevant experience for the role and are eligible to work in the United States. The salary is dependent on experience, Analyst $80-100k base, Associate $110-140k base, plus bonus and free medical cover. If your profile matches the above criteria, please contact me on **firstname.lastname@example.org**