Uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities industry compliance to design, implement and supervise a comprehensive compliance and surveillance program
Job Summary
Uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities industry compliance to design, implement and supervise a comprehensive compliance and surveillance program.
Supports the development, implementation, and oversight of compliance policies, procedures, and testing programs in accordance with Rules 38a-1.
Serves as the primary liaison between the organization and industry regulators by responding to inquiries, audits, complaints, and investigations.
Matching Summary
Uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities industry compliance to design, implement and supervise a comprehensive compliance and surveillance program.
Skills & Requirements
Must-have
’40 Act regulatory landscape
SEC Investment Company Act Rules
SEC Investment Advisers Act Rules
securities industry compliance
respond to regulatory inquiries
Nice-to-have
people-first culture
client-first
integrity
independence
conservative long-term view
Key Requirements
Minimum 10 years compliance/legal/banking/regulatory experience