Asset Management Compliance Testing Associate
Salary $90000 - $100000 per year
Location New York
Consultant Lucky Nguyen
Date posted November 11, 2016
A Compliance testing officer position has opened up at a very well known asset management firm here in New York City. This position would be reporting into the Head of Asset Management Compliance Testing.
About the Asset Management Compliance Testing Associate position:
This compliance role would allow for an individual to come into an organization that is currently growing and looking to reinforce their compliance testing framework. This position would allow either a compliance analyst or a compliance associate to step into a role that would promote growth within the organization. The Asset Management Compliance Testing Associate would plan and conduct compliance reviews of organizational and functional units in order to determine whether activities are being performed in accordance with applicable laws, guidelines, and regulations.
- Review and assess adherence to internal policies and procedures, as well as compliance with governing laws, rules and regulations
- Assess risk(s) and the design and effectiveness of controls for each review to accurately depict and conclude on the degree of compliance with applicable laws, rulings, regulations and internal policies and procedures
- Prepares reports for senior management and to the Funds Board of Directors that clearly and concisely capture the backgrounds, testing approaches and results, and conclusions of compliance review activities
- Assist in the assessment of firm-wide risks and development of the annual review/testing plan
- Monitor regulatory activities and industry developments to identify trends and emerging issues that may have an impact our business and the compliance testing program
The ideal candidate for this position will be someone who has a strong asset management background. 1940 Act experience is highly preferred. The preferred candidate would also have 2-4 years experience working with an asset management firm within a compliance function.
This organization is a very well known asset management firm that is currently growing their business.
If you are a driven and motivated compliance officer looking to expand your testing career, this is a great opportunity for you.
Apply or call me, Lucky Nguyen, on 212-704-9900