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A large life-insurance company is seeking a Senior Compliance Associate in Rye Brook, New York. Responsibilities will include, but are not limited to monitoring ETF trading activity to ensure compliance with Prospectus, SAI and other regulatory investment and contractual guidelines, researching, evaluating, and documenting compliance issues, and working with internal personnel and service providers to investigate and resolve such issues. The associate will also be providing timely and accurate advice and guidance to traders and investment operations staff in response to compliance queries. The candidate must have 5 plus years of Investment Adviser compliance experience (preferably some or all of which is related to Exchange Traded Funds). Knowledge of the Investment Advisers Act of 1940, as amended, and the Investment Company Act of 1940, as amended, capital markets and other relevant regulations applicable to Exchange Traded Funds and mutual funds is desirable.
Prior to establishing RPN, Steve Rado, Lee Presser, and Rachel Newman worked together for a combined 40 years as legal recruiters. Individually and as a team we have helped hundreds of attorneys make positive career moves. We have also established and managed client relationships with corporations spanning all industries, law firms of all sizes, and not-for-profits. At RPN, we take tremendous prid...e in being relationship based recruiters, not simply transactional, and the result of this approach is that the vast majority of our new clients are referred to us by existing clients.