|
|
|
|
|
|
 |
Search jobs by location:
Austria, Belgium, China, Malaysia, Mexico, Netherlands, Qatar, Saudi Arabia, Singapore, Thailand...More locations »
Search jobs by category:
Accounting, Administrative, Advertising, Architecture, Banking, Beauty/Cosmetics, Biotech, Computer, Construction, Customer Service, Design/Multimedia, Education, Engineering, Information Technology, Sales...More categories »
|
|
|
|
|
|
|
|
| Company: |
Watson Dwyer, Inc. |
|
| Job Title: |
Compliance Manager |
| Employment Category: |
Law/Legal |
| Job Location: |
Philadelphia - PA Pennsylvania - USA |
| Job Reference Number: |
COMPMGR |
| Job Description: |
The Compliance Manager is primarily responsible for monitoring compliance policies, procedures and internal controls and executing the compliance duties and functions to ensure that such policies, procedures and internal controls are maintained throughout the firm. These compliance functions include risk assessment reviews, oversight of trade execution, including best execution and trade conflict policies, monitoring of the firm’s code of ethics and internal reviews/investigations. This position reports to and works in close coordination with the Chief Compliance Officer (the “CCO”).
The Compliance Manager will be located on the East Coast (either in PA or NY office), and will be the primary liaison between the CCO and the East Coast offices. The Compliance Manager will be primarily responsible for the compliance oversight of the firm's businesses within the East Coast offices.
Summary of essential job functions:
•Be the primary Compliance liaison between the CCO and the East Coast offices.
•Assist with the administration of the firm’s code of ethics, including the personal trading policy and trade restriction policy
•Assist with monitoring of trade execution and compliance oversight of the trade execution function globally
•Preparation of regulatory filings, including responses to regulatory inquiries
•Review marketing materials and presentations to prospective investors
•Assist in the development of compliance training programs, including the on-going development of training materials and conducting training sessions for all new and existing employees.
•Oversight of the business and logistics of both East Coast offices and extensive interaction with all levels of the organization.
•25% travel between PA, NY, and IL. |
Skills Required:: |
Abilities preferred and/or required:
A successful candidate must have strong experience within the financial services industry, including at least four years directly within the compliance function, and be a “team player”. Must possess a strong knowledge of equity markets and securities industry experience. International experience is also a plus. A JD and/or MBA is not required, but is a plus. Excellent writing and interpersonal skills are required. Experience with Microsoft Office Suite, order management systems, back office bookkeeping systems and best execution monitoring systems is preferred. |
Language Requirements: |
English-Very Good
|
| Employment Type: |
Full Time
|
| Yearly Salary: |
175000 USD
|
| Posting Date: |
Jun 19 2008 |
| Education level required: |
Masters
|
| Experience in years: |
7 to 10 Years |
|
|
|
| Jobseekers:71184 |
Resumes:66593 |
Employers:7796 |
Jobs:19340 |
|
