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).
Identifying an exceptional level of talent requires a comprehensive and in-depth recruiting process.
“This is a firm that clearly accepts the best of the best candidates! They source for top level companies. The professionalism is top notch. Testing is somewhat lengthy but the outcome is well worth the registration process. If you have that competitive edge and can excel through their interview process, the end result is not just a job but a career! Excellent Services and Excellent Results!”
- Anonymous, Finance Specialist
“Wall Street Services is by far the best recruiting firm I have ever worked with. The professionalism is unparalleled and the staff is extremely courteous and very diligent in their approach to finding the right match for employer and employee. The turnaround time is very quick as I was interviewing shortly after my resume was submitted… It truly was a wonderful experience to work with Wall Street Services.”
-Wais A., Financial Services Specialist
“Wall Street Services helped me find a challenging position with one of the most elite companies in both New York and the world. The entire interview to hire process took only three weeks. They remained in constant contact and served as a very professional liaison between both myself and the organization.”
-Corey H., HR analyst
|Share Your Experience
Your experience with our recruiting process, online application, and organization is very important to us. Please share with us your honest feedback through an online survey.
It takes less than 1 minute!
Take Survey Now