Our client is currently seeking a Compliance Officer who is responsible for assisting with all activities related to compliance. This is a full-time, permanent position with benefits.
- Aid in review and maintenance of compliance procedures, documentation and regulatory filings.
- Evaluate advertising and marketing efforts as well as money movement transactions.
- Ensure compliance with guides and regulations and initiate appropriate policy changes.
- Maintain contact with third-party vendors such as fund administrators, insurance, and custody service providers.
- Supervise annual compliance meetings and trainings.
- Bachelor’s Degree in Finance or related field is required.
- 2+ year(s) experience in similar compliance role in a financial firm is required.
- Series 65 or combination of Series 7 and 66 is preferred.
- Proficient in Microsoft Office Suite, especially Excel and PowerPoint.
- Excellent written and verbal communication skills.
If you are qualified for this position, please apply using our secure online form