Compliance Officer (Trading Firm)
: Job Details :


Compliance Officer (Trading Firm)

Anonymous

Location: All cities,NY, USA

Date: 2024-06-15T06:26:05Z

Job Description:

Leading Trading Firm is looking to hire a Compliance Officer in New York City.

This key hire will play a strategic role in running the day-to-day compliance program as the firm continues to build an industry leading team.

The ideal candidate will have:

  • Strong knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940 is required.
  • Testing & Monitoring
  • Policies & Procedures
  • Code of Ethics
  • Licensing & Registrations
  • Cross-Border / International Compliance
  • Marketing Review
  • Trade/Portfolio Compliance
  • Regulatory Inquiries/Affairs
  • A strong academic pedigree from a top university

The position will suit a highly motivated and entrepreneurial individual looking to work at a firm renowned for innovation and integrity.

A highly competitive compensation package is on offer.

For a discussion in confidence, please apply with your resume.

Apply Now!

Similar Jobs (0)