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KEY FUNCTIONS / RESPONSIBILITIES: • Collaborate on the development, implementation and management of the firm’s compliance function. • Assist with the firm’s internal annual compliance review. • Perform reviews of advertising materials. • Assist on regulatory exams and respond to compliance-related inquiries. • Perform work related to periodic SEC and FSA filings. • Assist with monitoring and implementation of guideline compliance. • Perform duties related to client compliance reporting. • Participate in the drafting/revising of compliance policies and procedures, including a comprehensive compliance manual. • Assist with in-house reviews to test compliance policies and procedures. • Assist with preparation and filing of Form ADV. • Handle special projects as requested.
QUALIFICATIONS - Candidates must have these to be considered: • An undergraduate degree with a preferred major in business, finance, economics or related field. • Five or more years of investment advisory compliance experience (fixed income experience preferred). Experience must include monitoring portfolio compliance issues and work related to advertising reviews. • Familiarity with Bloomberg and proficiency in Microsoft Excel, Word and Outlook. • Excellent communication and interpersonal skills. • Strong organizational skills and attention to detail. • Ability to work well in a fast-paced environment that requires prioritizing, performing with accuracy and meeting tight deadlines.
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