Salary $70000 - $100000 per year
Location New York
Consultant Lucky Nguyen
Date posted April 19, 2017
This Compliance Associate position would be assisting the deputy chief compliance officer on day-to-day compliance responsibilities. This is a junior position that highly prefers candidates with strong code of ethics experience.
About the Compliance Associate Position:
The compliance associate is responsible for the main aspects of the firm's core compliance program. The role will be immersed in all areas of the compliance program that does not involve the investing or trading of securities in relation to the organization's clients.
- Analyzing the effect of new business initiatives and investment products on the compliance program;
- Fielding inquiries from employees and management on compliance matters;
- Initiating training and drafting training materials;
- Facilitating an annual review of compliance policies;
- Assisting in preparing for and responding to inquiries and audits from regulatory authorities;
- Supporting the drafting and maintenance of compliance policies and procedures and assisting in the development of regulatory reporting and regulatory filings; and
- Conducting forensic tests in several key compliance areas.
The ideal candidate will have 1-3 years of experience. A J.D. is not required but highly preferred. This individual will have tremendous room for growth and will have the ability to gain exposure dealing with code of ethics, gifts & entertainment, and other compliance compliance matters.
This investment management firm is a prominent organization that is well known within the industry. This organization continues to recruit top talent and promotes the entrepreneurial spirit internally.
If you are a junior candidate that is motivated to grow your compliance career, this is a great opportunity for you.
Apply now or call me, Lucky Nguyen, on 212-704-9900