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Compliance Officer

Compliance Officer

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Applications Submitted for this Position


Most Common Years of Experience


Bachelor's is the most common degree type

Job Description

Ref ID: 02944-103653

Classification: Compliance Officer

Compensation: DOE

Robert Half Financial Services is recruiting for an experienced Compliance Officer for a well-recognized Asset Management firm in New York. The Compliance Officer will have experience with SEC and FINRA rules and regulations, knowledge of the 1940 Act and Compliance testing. Duties & Responsibilities: - Aids Chief Compliance Officer and management on compliance and supervisory matters - Helps develop, draft and execute policies and procedures - Provide guidance to the business as necessary on compliance, client guideline interpretation and regulatory issues - Manage the identification, communication and tracking of regulatory changes and analyze the impact of such changes for - Administer and provide reporting on the Code of Ethics and personal trade pre-clearance - Review and file marketing materials - Work on regulatory related inquiries and examinations - Assists with the development and implementation of relevant employee training - Will have thorough knowledge of the firm s products, trading strategies and market characteristics ***Interested candidates please email resume to [Click Here to Email Your Resum├ę]***

Job Requirements

Qualifications: - Undergraduate degree - Five plus years of compliance, risk management, or auditing experience Asset management industry experience, including mutual fund business preferred - FINRA Series 7 required, 24 and 63 preferable - Knowledge of Investment Company Act of 1940, Investment Advisers Act of 1940 and FINRA Rules and Regulations - Knowledge of SEC and FINRA regulations required

Robert Half Finance & Accounting is the world's leader in specialized financial staffing. We provide exciting full-time opportunities in the areas of accounting, bookkeeping, finance, audit, taxation and more. We pioneered the professional staffing industry, and we've been successfully matching professionals with employers since 1948. Our proven proprietary processes, along with our relationships in more than 340 locations worldwide, allow us to provide you unparalleled access to exciting career opportunities.

But don't take our word for it. Our company once again was named to FORTUNE® magazine's list of "World's Most Admired Companies." (March 1, 2015), and 9 out of 10 of our clients and candidates would recommend our service to a colleague.

Apply for this job now or contact our nearest office at 1.800.474.4253 for additional information.

All applicants applying for U.S. job openings must be authorized to work in the United States. All applicants applying for Canadian job openings must be authorized to work in Canada.

Equal Opportunity Employer M/F/Disability/Vet

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Job Snapshot

Other Pay DOE
Employment Type Full-Time
Job Type Accounting, Finance
Education Not Specified
Experience Not Specified
Manages Others Not Specified
Industry Accounting - Finance, Banking - Financial Services
Required Travel Not Specified
Job ID 02944-103653
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Compliance Officer

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