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Government and Government Relations Attorney in Hauppauge, NY

Northstar Financial Services Group Llc Jul 01,2017 Apr 06,2017 Location Hauppauge NY
This job is expired...

In-House

Attorney

Government and Government Relations

5-10 yrs required

Profile

Regulatory Compliance Officer Duties: Reviews and drafts firm operating policies, procedures and guidelines. Ensures employee adherence to operating policies, procedures and guidelines. Ensures firm compliance with applicable federal securities laws. Assists in reviewing, drafting and updating compliance manuals on behalf of the firm’s clients. Provides interpretative advice to personnel as to the federal securities laws, relevant rules and regulations. Presents information and provides expert advice to mutual fund boards both in-person and via telephone as requested. Prepares and/or participates in the preparation of periodic compliance reports which includes review and analysis of various mutual fund and advisory client compliance programs. Participates in preparing materials and presentations for regular and special board meetings involving services. Serves as point person to handle, research and respond to regulatory inquiries from the SEC, FINRA and other regulatory authorities involving services to its clients. Keeps firm personnel apprised of new regulatory developments impacting service offerings. Establish procedures to review and test personnel adherence to firm operating policies procedures and guidelines. Establish procedures to review and test the effectiveness of services to its clients. Ensures proper training and implementation by firm personnel of firm policies, procedures and guidelines. Attends industry conferences and seminars as assigned. May perform other duties as required and assigned. Frequent contact with personnel and service provider personnel. Develops and maintain good working relationships with personnel, service provider compliance officers, as well as management.

Qualification and Experience

Qualifications: Bachelor’s degree in Business Administration or related field required. JD Degree. 5-10 years regulatory experience at the SEC strongly preferred. Mutual fund compliance and/or investment adviser compliance experience required. Prior financial services due diligence experience preferred. Prior auditing or legal experience preferred. Prior experience working with hedge funds and/or alternative investments preferred. Equivalent education and experience will be considered. In-depth understanding of applicable SEC rules and regulations. Working knowledge of securities regulatory requirements, investment limitations, and operating policies for mutual funds. Working knowledge of FINRA rules and regulations. Working knowledge of the Investment Company Act of 1940. Working knowledge of the Investment Advisers Act of 1940. Working knowledge of complex mutual fund products including closed-end and closed-end interval funds, exchange traded funds, alternative investments, CFCs, commodities, swaps, and currencies. Ability to focus on clients and manage multiple activities. Ability to multi-task while maintaining careful attention to detail. Ability to work with a sense of urgency to meet deadlines and address competing priorities. Ability to work effectively both individually with little direct supervision and within a team environment. Ability to maintain confidentiality concerning sensitive confidential client information. Proficient skills with Microsoft Office software including Word, Excel, PowerPoint and Outlook. Effective written, listening and verbal communication skills. Effective problem solving and organizational skills. Effective presentation skills.

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