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Investments Compliance Officer

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Job Snapshot

Location:

San Diego, CA ( map it!

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Employee Type:

Full-Time

Industry:

Banking - Financial Services

Manages Others:

Job Type:

Finance

Education:

Graduate Degree

Experience:

At least 5 year(s)

Post Date:

11/6/2009

Contact Information

Ref ID:

Investments Compliance Officer

Description

Investments Compliance Officer

A registered investment advisor in Southern California is looking for a Compliance Officer. The successful candidate will have at least 5 years of experience working at a major investment management firm. The candidate should have solid experience with the Investment Advisers Act as well as Investment Company Act of 1940. You must have regulatory compliance experience and knowledge of both fixed income and equity products. Ability to be a team-player but also take initiative is key as well as being able to communicate with senior management.

Requirements see above

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