social capital resourcesNew York, NY
AVP of Compliance (Asset Management)
AVP of Compliance (Asset Management)
AVP of Compliance (Asset Management)
social capital resourcesNew York, NY
today
Portfolio Management and Investment AdviceInvestment Banking and Securities IntermediationMiscellaneous Financial Investment Activities
Apply for this role →Compliance Officer – Asset Management Seeking an experienced Compliance Officer to support the administration and implementation of regulatory compliance programs for a leading asset management organization.
Key responsibilities:
Conduct compliance testing, monitoring, and risk assessments Review and enhance policies, procedures, and compliance manuals Investigate and document compliance issues and regulatory matters Support regulatory filings, examinations, audits, and board reporting Conduct third-party and intermediary due diligence Assist with personal trading and employee communications reviews Partner with business teams and senior leadership on regulatory requirements
Qualifications:
Bachelor’s degree with 4–6 years of relevant compliance experience Strong knowledge of the Investment Advisers Act and Investment Company Act Familiarity with FINRA, CFTC, FCA, and related regulatory requirements Series 7 and 24 preferred Excellent communication, writing, organizational, and project management skills
Also on the board Same function, level within a rung
Level
Senior
Location
New York, NY
Occupation
Compliance Managers
Industry
Portfolio Management and Investment Advice
Posted
today