A highly regarding investment firm is seeking a compliance officer to assist with overseeing the development, implementation, maintenance and support of the fund compliance programs for the organization. To be considered, candidates must have experience with compliance related to investment activities under the Advisers Act, ERISA, state privacy laws, and/or OFAC. This investment firm offers excellent benefits, a hybrid schedule and a collaborative work environment. Apply today!
- Review and approve investment marketing materials
- Regulatory filings
- Respond to SEC audits and other audits
- Monitor compliance with OFAC requirements
- Assist with compliance reviews and disclosures for all investment teams
- Work collaboratively with Investment Marketing team for review of all materials.
- Strong organizational and follow up skills
- Bachelor's degree or equivalent, relevant experience (JD preferred)
- Excellent analytical, written and verbal communication skills
- Minimum of 5+ years regulatory related work experience in a financial services/investment firm
- Strong understanding of industry regulations, and extensive compliance experience with complex risk management programs
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- Employee Retirement Income Security Act