Compliance Associate - Investment Firm Job at Robert Half, New York, NY

V0kwSy9XNjd3dWdnbmE1d05Vd0l3dHlEcVE9PQ==
  • Robert Half
  • New York, NY

Job Description

Job Description

Job Description

Robert Half Financial Services are currently recruiting for a Compliance Associate role at a global Investment firm based in midtown Manhattan New York. Our client requires 2+ years’ Investment Compliance experience at an RIA, Asset Manager, Hedge Fund or Compliance Consultancy firm; with knowledge of international regulations such as the FCA (United Kingdom), SFC (Hong Kong) and 1940 Act/SEC (United States). The role requires 3 days per week in the midtown office.

 

Responsibilities:

  • Prepare regulatory filings primarily in the US, and also UK and HK
  • Partner closely with the CCO, in developing and implementing policies and procedures for a US registered investment adviser and UK/HK affiliates, with a specific emphasis on the Investment Advisers Act, the Investment Company Act, FCA (UK) and SFC (HK) and related rules and regulations
  • Collaborate with compliance staff to support the firm’s business units, designing and reviewing automated compliance monitoring reports, and ensuring firm and employee adherence to compliance policies
  • Assist in the 206(4)-7 annual review and amendments to Form ADV and other applicable regulatory reporting requirements with the SEC, SFC and FCA
  • Managing and monitoring electronic communications in compliance with regulatory requirements
  • Assist in the review of standard materials, including advertising, sales literature, correspondence, and RFP/RFI/DDQs
  • Staying up-to-date with regulatory changes, updating CCO on suggested adjustments to business practices
  • Strong understanding of the regulatory environment, including the latest changes and trends
  • Help develop and conduct training and education to staff relating to policies and procedures and any amendments
  • Work on long-term projects to maintain the firm’s high compliance standards with new and existing regulations

Qualifications:

  • 2+ years’ Investment Compliance experience at an RIA, Asset Manager, Hedge Fund or Compliance Consultancy firm
  • Knowledge of international regulations such as the FCA (United Kingdom), SFC (Hong Kong) and 1940 Act/SEC (United States)
  • Proven track record in preparing and submitting regulatory reports
  • Knowledge of ComplySci system is advantageous
  • Proficiency with Google Suite (especially Gmail, Calendar, GDocs, and GSheets) and Microsoft Office (Word, Excel, PP)
  • High level of integrity and discretion in handling confidential information
  • Bachelor Degree or higher

The Compliance Associate role requires 3 days per week in the midtown Manhattan office, so please only apply if you are able to travel to this location, have relevant experience for the role and are eligible to work in the United States. The salary is flexible dependent on experience, the range is $100-130k base plus bonus and great benefits. If your profile matches the above criteria, please email me and add me on LinkedIn, Trishan Khareghat

Job Tags

Flexible hours, 3 days per week,

Similar Jobs

Comfort Keepers - Gulfport, MS

Live-In Caregiver Job at Comfort Keepers - Gulfport, MS

 ...Keepers is an in-home care company who provides togetherness tasks and daily routines allowing people to remain independent while living at home. All the while, putting great focus on elevating their human spirit!Do you enjoy spending time with the elderly? Do you... 

Axelon Services Corporation

Dental Hygienist Job at Axelon Services Corporation

 ..., Kings Point, NY 11024Job Description: 3 operational offices. One operatory dedicated to hygiene. Fast pace. Dentrix/Dexis software used. Required: Registered Dental Hygienist - NYSED Minimum 3 years experience as a Dental Assistant Preferred: Dentrix/Dexis... 

Internal Revenue Service

General Attorney (Criminal Tax) Job at Internal Revenue Service

 ...providing correct and impartial interpretation of the internal revenue laws and the highest quality legal advice and representation for the...  ...of this position serves as a senior docket attorney in the Criminal Tax Division assigned to an Area Counsel (Criminal Tax)... 

The UPS Store #

Notary Public Job at The UPS Store #

 ...business in the shortest possible timeApplicant will be required to pass a Department of Justice background check to qualify for Notary Public.Our Store provides a great friendly and flexible work environment.The following is a representative list of the duties and... 

Benedictine College

Graduate Assistant Center for Student Support and Engagement Job at Benedictine College

 ...serve as a resource person in the absence of Center Director.Graduate Assistants act as helpers to their departments, students or...  ...conducting various research tasks.For students intending to get an MBA:GA positions require a two year commitment to the College. GA...