Search using our robust engine. Get the recommendations you need to get ahead.
Browse through our expansive list of legal practice areas.
Work where you are or where you would like to be. Find where you will work with LawCrossing.
Use our marketplace to feature your opportunity
Start your search today
Set up your account and manage your company profile on LawCrossing
Look through and compare company profiles
Learn from the legal expert
Discover salaries and the scope of your next job
LawCrossing Works Read Testimonials and Share your Story
Do Not Be Influenced by Others’ Negative Opinions of You
In-House
Attorney
Government and Government Relations
Min 3 yrs required
Compliance Examiner Sales District Services DUTIES: Perform periodic compliance monitoring and testing of policies and procedures governing broker/dealer, Investor Services and third-party transfer agent functions and report findings and recommendations or resolution to Compliance Officers.. Monitor foreign accounts and off-shore funds for compliance with applicable policies, procedures, rules and regulations. Perform verifications of private fund investors’ status. Assist in the development of compliance monitoring programs and in the maintenance of current policies and procedures manuals. Prepare periodic reports on regulatory and compliance testing and results. Conduct research in connection with federal and state laws and regulations. Assist in regulatory inspections; operational reviews and special compliance reviews of designated business functions. Assist legal, broker-dealer, Investor Services, third-party transfer agent, and audit staffs in special projects as assigned. Maintain professional competence through a review of current regulatory and mutual fund industry literature and by attending relevant seminars, conferences, and training sessions. Provide guidance and assistance, as necessary, broker-dealer, Investor Services, third-party transfer agent and Compliance Department staff.
Qualification and Experience
Qualifications: Bachelor degree or equivalent comparable business experience including experience in financial services organizations in compliance, fund accounting, legal, audit or similar environment required; Bachelor degree in Accounting, Finance, or Business preferred. 3+ years of business experience or 2 years of financial services, legal or audit experience required; experience with mutual fund or investment advisor compliance preferred; Advanced degree (e.g. MBA or JD) or required FINRA registrations may be accepted in lieu of experience. Basic understanding of mutual fund process/regulations (e.g. FINRA rules, ‘40 Act requirements) required; working knowledge of regulations governing mutual funds (e.g. Investment Company Act requirements, Investment Advisers Act requirements) preferred. Proficiency Microsoft Word and Excel required.
JOB OPENING #: 7232
Sign Up Now