Job: Compliance Officer

Location: New York City, NY 10017

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Compliance Officer $80k - $100k Premier NYC Financial Services Boutique seeks an exceptional individual to join their Compliance team. In the role of Compliance Officer, you will work closely with the CCO in the implementation of the firm's compliance programs You will also be responsible for the  testing of policies and procedures under Rules 38(a)-1 and 206(4)-7 along with the review of personal trading and marketing  materials.  To be considered for this role you will have 3-5 years of investment advisory compliance experience and strong knowledge of 1940 Act rules/regulations Specific Responsibilities:  Consistent  review and testing of mutual fund regulatory requirements Oversight & testing of third-party service provider compliance programs Developing written policies, procedures & compliance materials Managing email review process Complete quarterly compliance certifications for institutional accounts Requirements: Bachelors degree is required 3 to 5 years of mutual fund or asset management Compliance experience  Solid experience with testing policies and procedures Series 7 licenses Regulatory knowledge of the Investment Company Act and Investment Advisers Act is desirable     Demonstrated ability to take initiative, make recommendations and meet deadlines This exceptional career opportunity will not last long so send your resume today! More Info and Application