Top-Tier Investment Management Company in Midtown, Manhattan is seeking a Director of Broker-Dealer Compliance!
Responsibilities:
- Develop, maintain and implement compliance program for broker-dealer which serves as the distributor of registered funds and private/non-listed investment products
- Provide technical guidance and expertise, promote examination preparedness and remain up-to-date on regulatory developments and industry best practices
- Support Chief Compliance Officers in liaising with regulatory authorities, responding to inquiries and coordinating regulatory examinations
- Help maintain and implement the firm’s adviser, fund, AML/KYC and CPO/CTA compliance programs
- Address licensing, registration, reporting, continuing education, training, written supervisory procedures, evidence of supervisory delegation, non-branch and OSJ remote office inspection and other SEC/FINRA regulatory requirements
- Work with registered funds’ transfer agent in addressing and resolving exceptions (e.g., SEC Rule 22c-1, new accounts, AML/KYC)
- Perform special projects and ad hoc assignments, as required
Qualifications:
- Bachelor’s degree
- 7+ years executing compliance programs for a registered broker-dealer
- Series 7, 24 and 99 licenses
- Superior organizational skills; careful and thorough, with particular attention to detail
- Excellent computer skills and knowledge of MS Office, including Outlook, Word, Excel, and PowerPoint
- Experience with FINRA Gateway system required
- Experience with AdMaster, MyComplianceOffice and Global Relay (or equivalent systems) a plus
