ford agencyBethesda, MD
Investment Compliance Manager
Investment Compliance Manager
Investment Compliance Manager
ford agencyBethesda, MD
4 days ago
Investment Banking and Securities IntermediationPortfolio Management and Investment AdviceMiscellaneous Financial Investment Activities
Apply for this role (opens in a new tab)Job Description:
Job Description The Ford Agency has an exciting Investment Compliance Manager role with one of the DC-area's top investment firms. The person in-seat will act as the subject matter expert on all compliance matters related to advisers, ETFs, mutual funds, CPOs, and CTAs. This is an excellent opportunity for someone with 5+ years of investment legal experience to join a successful and well-established team. This is a direct hire position.
Responsibilities Include:
- Collaborate on developing compliance policies and processes
- Identify and resolve compliance issues
- Represent firm with regulatory agencies and service providers
- Benchmark policies and evaluate compliance control effectiveness
- Train and mentor marketing, strategy, and portfolio staff
- Regularly administer compliance risk testing
- Screen various materials for conflicts of interest
Qualifications Include:
- BA/BS degree required, JD strongly preferred
- Series 7, 63, and 24 licenses required
- 5+ years direct experience in a compliance focused role for a registered investment firm
- 5+ years experience working with SEC, FINRA, CFTC and securities agencies
- Strong leadership, analytical, and organizational skills
- Excellent written and verbal communication skills
Compensation:
- 120K + generous discretionary bonus
Candidates for this position must be based in DC, MD, or VA area or have independent plans for relocation.
The Ford Agency is a recruiting firm based in Washington, DC. We represent a broad range of organizations including: non-profits, associations, legal, consulting, and government relations firms. This position is an opening with one of our clients.
To see more positions available through The Ford Agency, please check out our.
Also on the board Same function, level within a rung
Level
Manager
Location
Bethesda, MD
Occupation
Compliance Managers
Industry
Investment Banking and Securities Intermediation
Posted
4 days ago