Our client is seeking a Compliance Professional to join their Compliance Department and assist with managing the Compliance Program. This includes responding to regulatory inquiries, implementing program enhancements, and developing the firm's information barriers. This position reports directly to the Chief Compliance Officer.
Our client is Registered Investment Advisor who provides strategic financial, tax, and consulting services to individuals and Companies. They are located in Manhattan, New York and operate on a Hybrid schedule.
- Assist in Compliance & Regulatory inquiries, including coordinating SEC and NFA filings, and maintaining a Compliance calendar.
- Design, maintain, and implement enhancements to the firm's policies and procedures.
- Enhance the firm's Code of Ethics, Personal Trading, Information Barriers, and Outside Business Activities program.
- Identify potential areas of Compliance risks and assist in the development of corrective actions where necessary.
- Review client and market facing deliverable, including tailored marketing materials, proposals, etc.
- Manage the firm's compliance testing program.
- Draft and monitor the completion of mandatory compliance training's.
- Maintain the records of the firm's compliance committee
- Bachelor's Degree, JD Degree is a plus
- 5 + years of relevant Investment Adviser Act experience, candidates from registered investment advisers (RIA) are preferred.
- Knowledge of the Investment Adviser Act, ERISA, CFTC/NFA rules
Our client offers:
- Competitive Benefits Package
- Competitive Salary Package
- 401k plan with Company Match
- Generous PTO and paid Holidays
MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.