Our client is seeking a compliance professional to contribute to the continued development, implementation, and maintenance of our compliance policies, procedures, and oversight of the firm?s activities. This team member will be a significant supporter of the global compliance effort on a wide variety of matters and will have opportunities to apply both experience and analytical skills to a variety of projects and issues. * Has a strong presence and is able to present work product to investment and technology colleagues at all levels of the organization * Has significant experience reviewing marketing materials (and the regulatory framework that applies to such materials) and providing timely responses * Has knowledge of the securities laws (e.g., the Investment Advisers Act of 1940 ) and experience with CFTC regulations (preferred) * Maintains a superior work ethic, has strong analytical and organizational skills and a strong attention to detail * Is able to thrive in a dynamic, fast paced environment and prioritize under tight deadlines * Is a self-starter that works proactively and thinks both strategically and tactically * Ability to collaborate across teams/functions and also work autonomously, with minimal supervision, when appropriate * 3-5 years of regulatory compliance experience at an established investment manager with dedicated experience in marketing and advertising compliance * Familiarity of the laws, rules and regulations applicable to investment managers Founded by industry leaders to set a new standard in search, career placement and flexible staffing, we deliver coordinated staffing solutions with unparalleled service, a commitment to project completion and success and a passion for innovation, creativity and continuous improvement.
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