Senior Compliance Specialist

We are seeking a Senior Compliance Officer to join our team.

As a Compliance Officer, you are responsible for conducting due diligence on subadvisors for adherence to regulatory requirements and compliance best practices. You will have the opportunity to handle complex specialized compliance routines, such as licensing, monitoring, research, training and awareness, data compilation and synthesis, report drafting, and task management for assigned area, country or geography.

Qualifications:

• At least 8 years of securities industry experience required in relevant compliance or operations experience at an SEC-registered investment advisor or service provider with a history of competence and increased responsibility
• Knowledge of Investment Company Act of 1940, the Investment Advisers Act of 1940, Securities and Exchange Act of 1934, Securities Act of 1933 and ERISA regulation
• Have a Bachelor’s degree or equivalent job experience in the financial industry
• Be able to work well both independently and as part of a team.
• Demonstrate organizational and time management skills in a fast-paced, high energy environment
• Must be able to learn systems
• Ability to conduct research and provide management with proposed solutions
• Excellent analytical, research, and writing skills
• Excellent verbal and written communication
• Excellent interpersonal relationship skills
• Thorough and detail-oriented
• Ability to function independently as well as cooperatively
• Ability to manage multiple priorities and quickly and efficiently adapt to changes in procedures or policies
• Ability to perform assigned tasks within the specified time frames and meet quality expectations

Duties & Responsibilities:

• General compliance resource interacting with supervisory and retail staff
• Collect and review data
• Perform surveillance function
• Possible branch audit function