Compliance Specialist

Financial Jobs NYC #21396 

Are you an expert in compliance who takes pride in reducing errors? Looking for a role that connects you with professionals from different departments? 

We are seeking an ambitious Compliance Specialist to join the team at a top NYC investment bank to ensure compliance with the Investment Company Act of 1940 for all relevant funds firm-wide. 

Compliance Specialist Responsibilities: 

  • Connect with various departments to review and strengthen current guidelines, policies, and procedures for client investments
  • Review, resolve, and follow up on any trade or guideline errors
  • Monitor various reports relating to pre-/post-trading, compliance, and exceptions
  • Certify compliance for institutional accounts
  • Generate management reports 

Compliance Specialist Requirements: 

  • Bachelors Degree in Business, Economics, or Finance
  • Minimum 5 years of experience in compliance or auditing role within an asset management company
  • Working knowledge of Charles River or comparable system
  • Familiarity with compliance reports, fixed-income, derivatives, regulatory guidelines/restrictions, and compliance with the Investment Company Act of 1940
  • Stellar interpersonal/communication skills, attention to detail, and time management are all musts 

This Compliance Specialist role is a consulting positions that is expected to last at least 6 months with possible extension and pays an annualized salary of $87,000 ($42 per hour). 

Ready to advance your career? Apply Now.

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Applicants will be considered without discrimination based on race, color, sex, age, religion, national origin, disability, genetic information, or other legally protected status. If you need assistance in completing this application, please contact us.

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