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Company: Financial Services Company |
Asset Management Compliance - Associate or VP level in New York
The Asset Management Compliance Officer will provide compliance coverage relating to the distribution and commodities activities within the asset management division of a top-tier investment bank.
The individual will be responsible for handling licensing and registration matters (FINRA, NFA) connected with the asset management division.
The Compliance professional will interact with the NFA and FINRA (e.g. responses to regulatory inquiries).
The individual will also handle licensing and registration issues as it pertains to Canadian registration activities , SEC Form ADV updates, and handle supervisory structure and 3130 certification issues.
A portion of this individual’s time will be devoted to daily reviews of mutual fund marketing materials and interactions with FINRA reviewers of those materials.
Principal Responsibilities
• Handle licensing and registrations matters for the business unit and its employees
• Handle interactions with FINRA and NFA regulators
• Handle ADV updates, NFA registrations, Canadian registrations
• Conduct reviews of mutual fund marketing materials utilizing the firm’s Compliance Marketing Review Workflow.
• Interact with members of various teams to discuss the creation of marketing materials and appropriateness of content during reviews.
• Assist with FINRA marketing material filings as necessary.
Experience/Skills
• Two to three years experience at a regulator; preferably NFA or a commodities exchange, or in the alternative FINRA experience
• A minimum 3-5 years general compliance experience
• Must have good interpersonal skills
• Must have effective written and oral skills
• Must be a self starter and ability to work independently
(880032)
