Key skills
Communication
About this role
Role Overview
- Maintain Code of Ethics programs for clients
- Assist with annual review obligations, including electronic communications surveillance
- Prepare regulatory correspondence including SEC, CFTC, and SRO examinations and inquiries
- Complete registration projects for RIA, ERA, and BD clients
- Prepare regulatory filings such as Form ADV, Section 13 filings, Form PF, Form PQR, among others
- Conduct regular reviews of compliance programs including anti-money laundering
Requirements
- An internationally recognized professional qualification
- 7+ years’ experience working in financial services as a fund or broker dealer accountant or legal or compliance professional
- Experience or technical understanding of trading strategies and the financial markets is highly desirable
- Excellent English language skills, excelling in both written and oral communication
- Experience with Microsoft Office including excellent Excel skills is desirable
- Strong analytical skills
- Ability to analyze and interpret basic data with a keen eye for detail
- Self-starter with strong independent motivation and the ability to thrive in an independent work environment
Benefits
- Some travel may be required (>25%)