Description
Compliance officers will build and maintain customized compliance programs for each business unit of the firm. You will work with senior management as well as institutional investors to ensure adherence to the program, and to maintain and update that program through your thorough knowledge of regulations and controls. This position requires knowledge financial instruments, such as equities, fixed income, and derivatives, in more detail than most compliance positions.This person must regularly communicate with clients, negotiating solutions that match client requirements with technical feasibility. At that point you will lead the rule coding via inputs to the compliance system. Conference calls and in-person meetings are best when scoping client requirements against that of the firm's proprietary compliance system.
Qualifications:
- 5-10 years (minimum) of related experience.
- Bachelor's degree (minimum) in business, finance, economics, or related area.
- Strong investment compliance monitoring/reporting background.
- Direct management experience.
- Excellent financial instrument knowledge.
- Additional certifications and/or degrees (MBA, CFA) are a plus.
Please contact Matthew Gallira with Huxley Associates for further detail.
To find out more about Huxley Associates please visit www.huxley.com