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VP Central Compliance
2 months ago
Our client, one of the most prestigious asset management firms globally seeks a VP level hire supporting and reporting directly into the CCO.
Key responsibilities will include:
- Reviewing and approving marketing and advertising material in relation to Investment Advisers Act, ESG and Sustainability policies and 1940 Act registered mutual fund materials for compliance with FINRA regulations.
- Code of Ethics implementation, forensic testing and 206(4)-7 annual review.
- Additional responsibilities: MNPI and restriction lists, personal trading, conflicts, Gifts & Entertainment, regulatory inquiries and Compliance training.
Qualifications:
- 8+ years of experience within Compliance at a registered investment adviser.
- College Degree
- Excellent communication, project management and organization skills and be able to thrive in a fast paced business environment.
- Good understanding of Investment Advisers and Investment Company Act
