Director of Compliance Job at Atlantic Group, New York, NY

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  • Atlantic Group
  • New York, NY

Job Description

Location: Midtown Manhattan (3 days/week onsite)

Comp: $250K-$300K all in.

Our client, a $30 billion AUM dually registered investment advisor and broker dealer is looking for a Director of Compliance to act as a #2 to the CCO.

Responsibilities:

  • Work in close coordination with the Firm’s Chief Compliance Officer and other members of the Firm’s Legal & Compliance Department and Business Supervision team
  • Assisting with development and implementation of the Firm’s compliance program, including drafting and updating policies and procedures
  • Conducting surveillance of investments (including for insider trading, anti-money laundering and market manipulation) and personnel activities (including for Code of Ethics, personal trading, registrations and licensing, and special supervisory issues)
  • Compliance monitoring, testing and reporting for FINRA and SEC annual review purposes
  • Managing relationships with external compliance resources
  • Employee training
  • Assisting with regulatory reporting and regulatory filings and related oversight, and other day-to-day compliance functions.
  • This role offers the opportunity to interact with the Firm’s portfolio managers and support the executive leadership team in connection with a wide variety of compliance, regulatory, and risk-management issues.

Requirements:

  • Bachelor’s degree required
  • Minimum of 10 years of experience in financial services mandatory, experience in the wealth management space at a BD or an RIA a plus
  • Facility with compliance-related technologies and systems, and a willingness and ability to expand existing technology skills.
  • Good understanding of investment advisor and broker-dealer operational issues
  • Preference for candidates with compliance-related experience involving pooled investment vehicles and/or registered and/or private investment funds ( e.g ., hedge funds, private equity funds, mutual funds and ETFs)
  • Familiarity with regulatory and compliance issues relevant to financial technology
  • Preference for candidates with prior experience with a regulator (ideally SEC)
  • Excellent written and verbal communication and organizational skills
  • Candidate must exhibit a high-level of professionalism and sound judgment

Job Tags

3 days per week,

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