Our client is an asset management firm. They seek a Compliance Manager to join their Greenwich, CT office.
Responsibilities
- Manage the implementation and management of regulatory requirements
- Oversee regulatory filings, including ad hoc filings and periodic SEC filings
- Complete ongoing testing of various internal policies and procedures
- Prepare and review materials for the annual compliance review
- Draft compliance reports for multiple meetings, including the board of directors
- Work with service providers, including transfer agents and fund accountants
Requirements
- 7+ years of regulatory compliance experience
- Strong knowledge of credit markets
- Understanding of Federal Securities Laws
- Organized with a keen attention to detail
- Able to understand complex issues
- Strong written and verbal communication skills
- Advanced Excel Skills
JobID: 17056
