Regulatory Compliance Officer
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Location
San Francisco, CA
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Sector:
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Job type:
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Salary:
Competitive
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Contact:
Alessandra Recht
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Contact email:
a.recht@hamlynwilliams.com
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Salary high:
0
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Salary low:
0
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Published:
over 1 year ago
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Expiry date:
2020-03-20
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Startdate:
Immediately
We are wiring with a large and expanding Consultancy, who are hiring for senior level individuals to focus on the Asset Management clients. This opportunity is a Regulatory Compliance Officer and will be located primarily in Dallas,Texas. Travel will be required and here is the overview of the role:
Responsibilities:
- Advising clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulatory directives
- Reviewing marketing and advertising materials for compliance.
- Review of clients’ AML compliance documents
- Monitor clients’ firm trading activities (email review, compliance firm functions) and maintain restricted lists.
- Conduct training of our clients' employees and management regarding the Advisers Act; conflicts of interests, insider trading, cross trades)
- Design and monitor surveillance programs, testing systems, and technology infrastructure
Qualifications:
- Bachelor’s degree
- 4+ years of relevant compliance experience at a registered investment adviser, law firm, or consulting firm
- Strong working knowledge of both FINRA, CFTC, NFA and SEC Exam practices is also needed
- A JD is Preferred
If this opportunity interests you, please get in touch with an updated resume!