Senior Compliance Officer

Our client, a well-established Alternative Investments firm is seeking to add a Compliance professional to support the growth of the business with an opportunity to join a high performing team.

Key responsibilities include:

Developing ongoing policies & procedures & monitoring the Compliance program in accordance with FINRA regulations.

Reviewing personal trading activities for all employees in the region

Trade surveillance reviews

Assist with the review of firm marketing materials.

Understanding of FINRA & SEC marketing/advertising rules, public and private fund experience a plus.

Compliance Testing ( Knowledge of FINRA rule 3120 a plus)

AML

Compliance training

Regulatory exams and inquiries

Series 7 & 24 Required

Seeking 2-5 years of compliance experience at a highly regulated investment bank or broker dealer

Bachelors Degree

Self-starter with strong written & communication skills and with the ability to practice sound judgement and work independently and within a team dynamic.