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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Legal Staff
Corporate - General
Min 3 yrs required
Corporate Compliance Specialist - Investment The candidate ensure that AIM’s employees comply with the requirements of AIM’s Code of Ethics, especially in regard to monitoring personal trading of these individuals via the Star Compliance system. Will conduct initial and annual training on the Code of Ethics. Develop and provide annual and ad hoc training to AIM employees regarding various aspects of the Compliance Program and specific policies and procedures. Conduct review of AIM advertising materials to ensure it complies with various requirements, including, Rule 206(4)-1 under the Advisers Act. Monitor the regulatory environment for any changes in regulations that would affect AIM. Read and analyze any new rules and suggest ways in which AIM and/or its subadvisors and third party money managers would need to comply with the changes. Manage or assist with other projects as directed by Manager. Should have 3+ years experience required: Investment adviser and / or mutual fund compliance; Strong familiarity with the requirements of the Investment Advisers Act of 1940 and the Investment Company Act of 1940. Four-year degree required: Or equivalent work experience is essential. Experience with Bloomberg AIM and StarCompliance; Understanding of CFTC, NFA and foreign regulatory requirements is preferred. Knowledge of the Futures, Options and OTC Derivatives business is needed. Legal or paralegal background is essential.
Reference Code: AZL-55609245-2
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