Risk and Compliance Professional – Compliance Officer
Location: Philadelphia
Our client, a global investment management firm, is looking for a Risk and Compliance Professional to work on their Distribution Compliance team.
This is a full-time, permanent position that will be a hybrid of working from home as well as in-person in the Philadelphia office.
**NOT OPEN TO RELOCATION AT THIS TIME**
Position Overview:
We are seeking a dynamic and detail-oriented Risk and Compliance professional to join our team. This role focuses on distribution-compliance matters, particularly in marketing material review, broker-dealer regulatory compliance, cross-border distribution compliance, and anti-money laundering (AML). This position offers a clear path for growth into a senior Compliance Officer role.
Key Responsibilities:
- Review marketing materials in accordance with policies and regulatory frameworks (SEC, FINRA, and other applicable regulations).
- Conduct email reviews for employees of the investment adviser and broker-dealer.
- Assist in the coordination and management of broker-dealer and registered representative compliance.
- Oversee cross-border distribution compliance, working closely with global colleagues.
- Contribute to regulatory responsibilities and obligations, including analyzing existing, proposed, and new regulations and testing of the broker-dealer compliance program.
- Ensure compliance with local and Group AML policies, including customer due diligence and KYC requirements, focusing on US and Cayman Island regulations.
- Participate in ad hoc projects within Risk & Compliance.
Qualifications:
- Bachelor’s Degree required.
- 4-6+ years of experience in a compliance role in the investment management industry.
- SIE, Series 7 and Series 24.
