A leading asset management firm is looking to expand thier NYC team of compliance professionals! This associate director position has a requisite for regulatory knowledge in regard to Code of Ethics, SEC, regulatory finance, and forensic testing. This is a hybrid positon in NYC (4 days/week in office).
Key Responsibilities:
- Reviewing and implementing procedures, policies, and code of ethics
- Combining industry criterion and best practices through education and research
- Regulatory gap analysis, compliance reporting and compliance monitoring
- Ability to work on a team as an individual contributor
Requirements:
- 5-8 years relevant experience at a broker-dealer, asset management/ nvestment advisor firm
- Bachelor's Degree
- Series 7, 24,63 preferred
