Job Description A Broker Dealer in Jersey City has a subsidiary company located in Chicago and they are looking for a Compliance Officer For their Asset Management Firm. The Compliance Officer will be responsible for the general operation of the Asset Management Compliance Program and for developing, maintaining and revising the firm's policies and procedures to comply with applicable Rules and regulations.
Responsibilities:
Monitor compliance with trading-related policies and procedures, including policies related to trade allocations, best execution, trading With an affiliated broker-dealer and soft dollars.
Maintain and revise the firm's Code of Ethics and review employee compliance with personal trading policies, procedures and Reporting requirements.
Monitor the firm's marketing activities, sales literature and website for compliance with applicable industry and regulatory standards. Ensure that all materials are reviewed and approved prior to use. Develop and approve appropriate disclosure language.
Prepare and file periodic regulatory reporting, including by not limited to Forms 13D, `13F and 13G.
Maintain and as necessary, promptly update the Firm's Form ADV Parts, 1, 2a and 2b.
Prepare and file periodic reporting for mutual fund Board of Trustee and the Funds" chief compliance officer.
Monitor compliance with composite construction policies and procedures as well as adherence to applicable standards for performance Reporting.
Provide employee training for new hires and on an annual basis. Develop and provide training on specific topics as necessary.
Maintain and update compliance manual and implement new policies and procedures as necessary to comply with rule changes And/or changes in the firm's operations.
Perform and document the annual review of policies and procedures.
Skills Required Significant experience working in a compliance or related function at a registered investment advisor or registered investment Company.
Understanding the application of Advisers Act and Investment Company Act
Strong written and verbal communication skills
Experience in designing an effective compliance program
Ability to identify and analyze issues and provide clear and sensible solutions in light of the relevant legal and regulatory Requirements.
Salary Range This is a full time position which will pay up to 100k plus a discretionary bonus.
How to Apply Contact Tony Savoca at Momentum Resource Solutions at asavoca@momentumrs.com and then call him at 732-738-0929.
Tony Savoca |
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