About the role

  • Provide advisory compliance guidance
  • Manage the firms regulatory filings across multiple regulatory bodies
  • Conduct testing and collaborate to implement enhancements and solutions across the compliance program
  • Serve as subject matter expert on a variety of compliance areas

Requirements

  • BA/BS degree
  • A minimum of 5 years of experience in relevant compliance or operations experience at an SEC registered investment adviser or service provider with a history of competence and increased responsibility
  • Knowledge of Investment Company Act of 1940, Investment Advisers Act of 1940, Securities and Exchange Act of 1934, Securities Act of 1933 and FINRA and ERISA regulation.

Benefits

  • Health and welfare benefits
  • Tuition assistance
  • 401K savings and other retirement programs
  • Employee assistance programs

Job title

Compliance Officer

Job type

Experience level

Mid levelSenior

Salary

$91,400 - $183,000 per year

Degree requirement

Bachelor's Degree

Location requirements

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