Compliance Manager, Finance & Banking

A Top Asset Management firm is looking for a Compliance Manager as a new addition to the team. This is a great role for an individual with 5+ years of related experience looking for opportunity to take ownership of the Compliance function, within an established company that continues to grow organically.

• Strong base pay
• Bonus
• Profit Sharing
• Opportunities for growth & professional development
• Fantastic company culture

• Establish and maintain compliance rules in the core compliance engine
• Maintain up to date understanding of new and proposed regulations to determine applicability to the firm based on a thorough understanding of the current business model
• Preparation of monthly and quarterly reports
• Support daily monitoring of pre and post trade activities for specific equity, fixed income and alternative funds and accounts, including complex investment strategies
• Reporting of beneficial ownership in an accurate and timely manner
• Work with Compliance leadership to ensure relevant regulatory filings including form ADV
• Review and updating compliance policies and procedures
• Assisting with investment compliance
• Review and approving of marketing materials
• Identify and resolve potential material non-public information and information barrier matters
• Provide management with information on current trends and issues recognized during assignments and recommend plans for improvement
• Participate in and leading strategic initiatives within the team and in partnership with various business partners

• 5-10 years of relevant experience
• Bachelor's degree in Finance, Accounting, Economics, or related field preferred
• Experience in the financial services industry, compliance and/or operations
• Regulatory and policy experience a plus
• Ability to business partner across departments & levels, as well as with the leadership team, and external parties
• Interest in growth & promotion with the firm