Senior Compliance Specialist

Staffing Statistics St. Louis , MO 63103

Posted 2 weeks ago

  • Creates the formulation of responses which may include responses to regulators and other supervisory entities.
  • Assists a more senior Compliance role with the development of policies and procedures to meet regulatory requirements. Drafts, makes recommendations, and amends compliance procedures.
  • Advises colleagues on licensing issues and resolves licensing in jeopardy.
  • Responsible for licensing, monitoring, research, training and awareness, data compilation and synthesis, report drafting, and task management for assigned area, country or geography.
  • Assists with various regulatory filings including Form PF, Form 13F, and Form ADV.
  • Reviews marketing and sales pieces in an effort to confirm adherence to company standards and regulatory requirements.
  • Monitors investment activities for compliance with client guidelines and colleague adherence to policies, procedures, and other compliance requirements.
  • Conducts due diligence on subadvisors for adherence to regulatory requirements and compliance best practices.

Requirements:

  • BA/BS degree
  • 3 – 5 years of experience in relevant compliance or operations experience at an SEC registered investment advisor.
  • Knowledge of the Investment Company Act of 1940, Investment Advisers Act of 1940, Securities and Exchange Act of 1934, Securities Act of 1933, ERISA and CFTC/NFA (CPO/CTA) regulations
  • Knowledge of Regulation D and various private fund rules.
  • Excellent research skills
  • Ability to manage multiple projects and priorities simultaneously.
  • Excellent analytical and problem solving skills
  • Proven ability to establish relationships with key stakeholders and lead and influence to accomplish business objectives
  • Strong change management skills
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Senior Compliance Specialist

Staffing Statistics