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Remote Senior Funds Compliance HQ Compliance Advisor

Job is Expired
Location: Nationwide
Compensation: Salary
Staff Reviewed: Thu, May 19, 2022
Job Category: Consulting
Weekly Hours: Full Time
Employer Type: Employer
Career Level: Experienced
Education Level: Bachelors, Masters

Job Summary

A financial services and investment firm is seeking a Remote Senior Funds Compliance HQ Compliance Advisor.

Candidates will be responsible for the following:

  • Providing timely advice and guidance regarding compliance with federal and state securities laws and regulations
  • Administering compliance program
  • Conducting periodic oversight reviews of compliance policies and procedures

Must meet the following requirements for consideration:

  • Bachelor's degree required
  • At least 7 years of compliance and other relevant experience in investment advisory and/or asset management
  • Specialized depth and breadth of expertise involving mutual fund and investment adviser issues
  • Deep knowledge of the Investment Company Act of 1940, Investment Advisers Act of 1940
  • Strong leadership and interpersonal skills are essential

COMPLETE JOB DESCRIPTION

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