Accountancy
120
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1
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85
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0
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100
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128
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71
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70
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3
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66
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424
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3
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Other
66
| |
Accountancy
0
Agriculture, Fishing
0
Finance, Insurance
0
Call Centres
0
Catering & Hospitality
0
Construction, Property
0
Customer services
0
Defence/Armed Forces
0
Education
0
Electronics
0
Engineering, Manufacturing 0
Graduate, Trainees
0
Healthcare & Nursing
0
Human resources
0
IT & Internet
0
Legal
0
Management consultancy 0
Marketing, Advertising, PR 0
Media, Creative
0
Non-profit, Charities
0
Public sector & Services
0
Recruitment sales
0
Retail, Wholesale
0
Restaurant & Food Service 0
Sales
0
Science
0
Secretarial, Administration 0
Security
0
Senior appointments
0
Telecommunications
0
Transport, Logistics
0
Travel, Leisure, Tourism
0
Other
0
| |
|
|
Section: Electronics Vacancy 1599 |
| Post:Senior Compliance Associate |
Salary contractual |
| |
| Requirements and conditions |
| Age: |
Has no value
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| Gender |
Has no value
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| Education: |
no
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| Work schedule: |
Has no value
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| Work place: |
London
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| The announcement text: |
Premier NYC Investment Advisory Leader seeks an exceptional individual to join their Legal & Compliance team. This department ensures and coordinates the company’s overall compliance with applicable rules, regulations and statutory requirements by implementing and maintaining a comprehensive compliance program. You will assist the department in its daily functions, activities, deliverables and projects. To be successful in this role, you must be creative, dynamic, self starting and have a strong attention to detail and follow-through.
Specific Responsibilities:
Create Metrics to assist in identifying risk areas, and mitigate and/or eliminate said risks.
Track the business unit’s progress in complying with the Test Findings (Final Report) issued by the Compliance Testing Associate
Policy Adherence, including the tracking of any CP policy designed to achieve compliance with legal and regulatory requirements, checking for adherence to these policies, and preparing compliance reminders issued by the Senior Compliance Officer
Provide assistance to internal auditors, external auditors, and regulators when needed
Manage the Risk Assessment document
Review and update compliance risk assessment of the firm.
Review and update the compliance responsibility and delegation chart for the firm.
Review and update policies and procedures within each business unit for the firm.
Develop, implement and maintain monitoring systems for all business units of the firm.
Assist in evaluating all exceptions and creating updated processes accordingly.
Report on a regular basis significant compliance issues and relevant updates, significant regulatory developments and internal compliance initiatives.
Coordination and completion of all government, regulatory, ING Group, and other corporate and compliance documents for the organization.
Update and maintain all necessary documentation for SEC examinations of the firm.
Develop, implement and maintain training programs for all business units.
Assist in evaluating marketing materials for compliance standards.
Maintain detailed knowledge base of all applicable regulations and best practices.
Tracks laws, regulations and corporate mandates that might affect the firm’s policies and procedures and implement necessary changes.
Provide compliance support, advice and counsel to operating and new business teams.
Establish and maintain positive relationships with applicable regulators, compliance organizations and peers in the industry.
Assist in review, evaluation and implementation of all compliance software for the firm.
Update the Firm’s Form ADV
Qualifications:
Bachelor’s degree
5+ years related compliance experience working for an asset management firm, investment adviser, broker-dealer or hedge fund
Series 7 and 24 licenses are required
Regulatory experience highly preferred
Experience with the Investment Advisers Act of 1940/Investment Company Act of 1940
Excellent computer skills in all MS Office applications
Ability to learn and master new IT/Systems
Possess an understanding of investment instruments and portfolio management theories
Strong interpersonal skills; ability to clearly communicate in writing and speech
Ability to work in a fast paced environment and handle multiple tasks and deadlines
Effective risk management skills and knowledge.
Excellent judgment in dealing with compliance issues.
This position won`t last long so send a resume today!
Compensation: $100k - $110k plus bonus
Principals only. Recruiters, please don`t contact this job poster.
Please, no phone calls about this job!
Please do not contact job poster about other services, products or commercial interests.
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| Contact information |
| Employer: |
Grand Prix
|
| Email: |
jm@abc123mortgage.com
|
| |
