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73880 - Compliance Officer I
73880 - Compliance Officer I LOCATION: New York City (10017)
This is a retained Executive Search; our client is a Major Financial organization with offices headquartered in NYC, looking for a Compliance Officer I. If you are interested please submit your resume and I will respond ASAP.
POSITION DETAILS
Salary Range: $70K to 100K
Best Industry: Financial Services
Best Department: Compliance-Financial Specialty
3-5 years of experience
No sponsorship available/No relocation available
4 year degree
Assist in developing and maintaining Compliance Program for registered investment advisers.
Duties include due diligence and testing of policies and procedures.
4+ years investment adviser or mutual fund compliance experience required.
Experience with activities supporting SEC Rule 206(4)-7 Compliance Programs preferred.
Additional experience in Fund Accounting/Administration or Internal Audit a plus.
Skills required:
Good understanding of registered investment advisers;
Knowledge of securities and markets;
Basic knowledge of securities laws relating to investment advisers.
Candidate must have excellent written, oral and presentation skills.
Candidate must have strong PC skills.
CANDIDATE MUST HAVE:
4+ years investment adviser or mutual fund compliance experience required
B.S. or higher required.
Knowledge of the Investment Adviser Act of 1940
Related Link : (None)
Target State : New York
Target City : New York
Ad Owner Name: The Barron/Carlington Group
Contact Phone: (None)
Contact Email: gg@barronsys.com
Last Update : 2008/08/08 10:19:23 AM
Number of Views: 24
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