Job Location : New York,NY, USA
Top global alternative asset manager seeks an AVP to join the compliance team within the Legal and Regulatory division. This person would be responsible for handling all broker dealer compliance.
This role presents an excellent opportunity for an individual with a hands-on approach to play a vital role within the Legal and Regulatory Team. Support the compliance program, focusing on the global marketing and wholesale distribution of products. This position entails collaboration with legal and regulatory counterparts, as well as across the broader Legal and Regulatory organizations.
Key Responsibilities:
§ Manage reporting and filing requirements, including BD, BR, U4, and U5, while monitoring the FINRA Gateway.
§ Collaborate to ensure regulatory filings of marketing materials with FINRA are maintained and assist with material reviews.
§ Keep employee lists, branch lists, and supervisor designations updated.
§ Maintain and revise policies and procedures as necessary.
§ Assist in reviewing and responding to Regulatory Inquiries and Examinations.
§ Conduct Surveillance and Testing of the Compliance Program.
§ Support training personnel.
§ Provide assistance in addressing regulatory queries from the business.
§ Manage the maintenance of books and records for the broker-dealer.