Compliance Associate Director - Broker/Dealer
CHICAGO-60618, IL, US
09/22/2020
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Required Skills
Company
Infinity Consulting Solutions, Inc
Experience
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Job Description
Compliance Associate Director
A midsize management consulting firm is looking for a Compliance Associate Director to have senior oversight of client regulatory compliance matters within the financial services division
Considered candidates will:
Support an entire sales cycle; pitches, proposals, follow-ons and general contract terms
Lead a large portfolio of clients as the primary day-to-day oversight resource
Have deep familiarity for practical compliance and regulatory matters relating to SEC (e.g. investment advisor) CFTC / NFA and Client (e.g. broker-dealer) rules, and other regulators where applicable
Have familiarity with various regulatory mock examination audits, including documentation requests, onsite reviews / interviews and drafting reports
Have the ability to lead clients on developing all relevant policies and procedures relating to compliance manuals, code of ethics and other areas documented within the business
Demonstrate the ability to lead on with compliance protocols and training regarding use of expert networks / MNPI, marketing, personal trading, electronic communications surveillance, best execution, SEC 206(4)-7 reviews, etc.
Anticipate client regulatory risks and expectations, focus resources on the necessary tasks that need completion (without compromising quality or other client deliverables)
Be up to date on current regulatory developments and abreast of new developments on the horizon
Experience with Financial Conduct Authority (FCA) or other global regulators a plus
REQUIREMENTS:
Undergrad degree required from an accredited college or university, J.D. or Advanced degree a plus
5-8 years of total industry experience working at one or more asset managers (in-house), law firm (paralegal), advisory services firm or ex. Regulator
Compliance Associate
Compliance & regulatory
No Preference
Contract Only
Other
1
Candidate Requirements
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Bachelors
Walkin Information
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9/21/2020
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Recruiter Details
Doug Klares
1350 Broadway, Suite 2205,
NEW YORK-10018, NY
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