Description
The Senior Compliance Advisor at one of the largest asset management firms in the world is responsible for providing the Equity and High Income Asset Class areas with consistent and proactive support to ensure the highest level of expertise regarding all compliance related matters. The position will report to the SVP and Chief Compliance Officer.Primary Responsibilities
- Partner with Compliance and other personnel across the firm to ensure compliance with SEC and other regulatory requirements.
- Research regulatory changes and developments and provide proactive impact analysis to the business.
- Periodically review the compliance program to incorporate new or changed regulations, and provide regulatory/compliance guidance on new business initiatives.
- Communicate with other business lines in international offices.
- Support department driven initiatives and provide strategic guidance to senior management on compliance and operational matters.
Qualifications
- Bachelors Degree required; Post-Graduate Degree (MBA, JD) preferred.
- 4-10 years experience in compliance/audit/legal departments for financial firms.
- Strong self-starter. Works well independently.
- Excellent analytical skills.
- Working knowledge of the relevant legal and regulatory environment for the industry including the Investment Adviser rules and regulations, and Investment Company rules and regulations.
Please contact Matthew Gallira with Huxley Associates for further detail.
To find out more about Huxley Associates please visit www.huxley.com