Job vacancy: Compliance Officer
Attention! This job posting is 7 days old and might be already filled.
| Company Name | Financial Institution |
| Location | Dallas, TX |
| Date Posted | May 31, 2011 |
| Category | Law Firm Management |
| Job Type | Full-Time |
| Your Phone Number | 212-352-3220 |
| Your Name | Rachel H. |
| Job Keywords | compliance, legal, law, regulatory |
Description
• Monitors and ensures compliance with applicable regulations including FINRA and SEC rules and ensures consistent implementation of compliance and risk programs.
• Serves as liaison between Compliance and various business units on identifying and addressing compliance concerns as changes are made to business processes, new initiatives are undertaken, or new regulations are issued.
• Provides information and status reporting to senior Compliance management regarding various aspects of the Compliance program.
• Collaborates with senior management to develop, recommend, and/or execute business plans for area of responsibility.
• Assists in developing compliance policy and provides support to the assigned business units with regard to business developments.
• Assists in the due diligence review of sub-advisers by reviewing documents submitted by the sub-advisers in connection with the adviser’s due diligence oversight program.
• Performs monthly reviews of Fund checklists submitted by sub-advisers for completion and adherence to investment guidelines, policies, and regulatory requirements.
• Provides general ad hoc support on variety of important regulatory compliance matters, including personal trading, procedures testing and verification, regulatory examinations, office reviews, risk assessments, and appropriate maintenance of required books and records.
• Reviews written communications and materials put through by an automated system that tracks and retains evidence of the review, store/archive materials, produce standard disclaimers and risk factors.
• Reviews material with appropriate supervision, and serves as point person for any materials that require review by the legal staff.
Qualifications:
• Bachelor’s degree required. MBA is a plus.
• 5-7 years of applicable experience in the securities industry.
• Must have detailed knowledge of various securities products and a strong understanding of investment and economic concepts.
• Strong knowledge of the securities industry and current regulatory requirements applicable to broker-dealers and investment advisers, including FINRA and SEC rules.
• Strong interpersonal and oral/written communications skills Excellent time and project management skills.
• Series 7 and 24 preferred.
• Serves as liaison between Compliance and various business units on identifying and addressing compliance concerns as changes are made to business processes, new initiatives are undertaken, or new regulations are issued.
• Provides information and status reporting to senior Compliance management regarding various aspects of the Compliance program.
• Collaborates with senior management to develop, recommend, and/or execute business plans for area of responsibility.
• Assists in developing compliance policy and provides support to the assigned business units with regard to business developments.
• Assists in the due diligence review of sub-advisers by reviewing documents submitted by the sub-advisers in connection with the adviser’s due diligence oversight program.
• Performs monthly reviews of Fund checklists submitted by sub-advisers for completion and adherence to investment guidelines, policies, and regulatory requirements.
• Provides general ad hoc support on variety of important regulatory compliance matters, including personal trading, procedures testing and verification, regulatory examinations, office reviews, risk assessments, and appropriate maintenance of required books and records.
• Reviews written communications and materials put through by an automated system that tracks and retains evidence of the review, store/archive materials, produce standard disclaimers and risk factors.
• Reviews material with appropriate supervision, and serves as point person for any materials that require review by the legal staff.
Qualifications:
• Bachelor’s degree required. MBA is a plus.
• 5-7 years of applicable experience in the securities industry.
• Must have detailed knowledge of various securities products and a strong understanding of investment and economic concepts.
• Strong knowledge of the securities industry and current regulatory requirements applicable to broker-dealers and investment advisers, including FINRA and SEC rules.
• Strong interpersonal and oral/written communications skills Excellent time and project management skills.
• Series 7 and 24 preferred.
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