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For your reference, we have included the original job posting below.
Compliance Officer Investment Company Act of 1940
Job Number:
25641569
Company Name:
Robert Half Finance & Accounting
Job Location:
NEW YORK, NY US
Job Category:
Management & Business
Compliance Officer Investment Company Act of 1940
Compliance Officer Investment Company Act of 1940
The Asset Management side of a Top U.S. Investment Bank New York, NY seeks a Compliance Manager. IMMEDIATE HIRE*** This compliance professional should have at least 10 years of mutual fund compliance related experience at a registered investment adviser, federal securities regulatory agency or other relevant organization. The individual must have expert knowledge regarding the Investment Company Act of 1940 and the Investment Advisers Act of 1940. Strong security and derivative knowledge required. Hedge Fund knowledge is a plus. The candidate will assist in all aspects of compliance with the Investment Company Act and the Investment Advisers Act for all proprietary and sub-advised mutual funds that are managed by the Asset Management division of the firm. This candidate will recommend policies and work with senior management to implement the overall Funds compliance program.
Responsibilities include: Ongoing development and implementation of the Funds overall compliance program Monitoring and implementation of new regulatory requirements and industry developments affecting the Funds Analysis and implementation of new business initiatives, new products and new instruments Liaison with the Asset Management business and the Funds Chief Compliance Officer Assistance with compliance analysis and preparation of Senior Management Reporting Leadership over the Funds compliance quality control programs including the review of policies and procedures Lead ad hoc compliance projects and initiatives as directed by Senior Management Salary compensation, competitive for someone with 10 years of experience behind them. Please contact: Rocco J. Tufo Telephone: Attach resume:
Additional Information
Location: NEW YORK, NY
Job ID: 02944-101693
Experience: Qualifications: Expert knowledge of the Investment Company Act of 1940 and Investment Advisers Act of 1940 Strong knowledge of securities and derivatives Ability to manage multiple tasks, and projects simultaneously Possess strong analytical skills Excellent interpersonal skills
