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Boutique Investment Advisor seeks a Senior Compliance Officer, with a minimum of 5+ years of compliance experience in either credit or securities; bar optional.
Advisor’s parent company is a large prestigious, established and growing financial services organization, with history of promoting from within.
Package to $170K (base plus bonus.)
Position located in very attractive Southern Connecticut/Westchester area.
Assisting with all aspects of compliance and will work closely with the Chief Compliance Officer (CCO) in developing and executing the firm’s Compliance program. The primary objective is to continue a strong, sophisticated and effective “Culture of Compliance” within the firm.
Be on-site Compliance Officer reporting to an off-site CCO and will have regular interaction with senior management.
Responsible for compliance, legal, portfolio management and operations personnel. Interface with the compliance team, management, operations, or legal to resolve issues, and respond to requests.
Actively maintain, enhance and update the firm’s compliance and regulatory policies and procedures.
Perform testing to ensure policies and procedures are working effectively.
Work closely with the various teams within the firm to provide analysis and resolution on compliance related matters and elevate difficult or complex issues to compliance management when appropriate.
Coordinate with the firm’s outside service providers to ensure regulatory filings are made timely and accurately.
Assist in preparing monthly and quarterly compliance reports/certifications as requested.
Stay updated and implement all new regulations. Help identify potential areas of compliance vulnerability and risk and help develop creative solutions.
Engage in special projects, initiatives, and other activities of an ad hoc nature.
Provide compliance training and promote compliance program to members of the firm.
Be a strong collaborator who will foster relationships across the firm and coordinate with all relevant groups.
Assist with performing Rule 206(4)-7 annual reviews and testing, including on-site due diligence reviews of service providers.
Conduct reviews and prepare reports on the investment adviser’s brokerage practices and best execution. Research, compile and draft responses to regulatory inquiries and examinations, and other special projects.
5+ years of experience in an investment advisor compliance function; 5+ years in the financial services industry.
Bachelor’s degree required, bar optional.
Knowledge of the Investment Advisers Act of 1940; demonstrable knowledge of SEC regulations.
Knowledge of FINRA regulations.
Direct lending a plus, but not required.
Resumes in confidence to: email@example.com
Meridian Legal Search is a legal staffing organization specializing in the search, recruitment and placement of attorneys, paralegals and compliance professionals for the nation's leading financial institutions, insurance companies, pharmaceutical companies, law firms, Fortune 500 companies and other major corporations. Meridian was first established in 1936, and has successfully been placing att...orneys more than 40 years now. Meridian's clients include corporations (public and private), law firms (large, medium and boutique) and Fortune 1000 and global financial services corporations. We place partners, counsels and associates; general counsel, associate counsel, staff attorneys and paralegals in corporate finance, litigation, securities/compliance, investment banking, investment management, banking, private equity, venture capital, mutual funds, hedge funds, broker dealer, insurance, intellectual property, media, entertainment, information technology, pharmaceutical and many other industries. Our clients are located throughout the United States and overseas. All communication and correspondence with candidates is treated confidentially, and candidate resumes are submitted to clients only upon receiving the candidate's prior express permission to do so. Other services we offer include counseling law firms and corporations on hiring strategies and compensation packages, law firm mergers and diversity hiring programs. We have a state of the art, advanced computer database of 100,000 attorneys and 9,000 law firms, corporations and not-for-profits. Additionally, Meridian Legal Temps, Inc. is a division of Meridian Legal Search. Placements include temporary and temp-to-perm attorneys and paralegals at all levels and in a wide range of practice areas.Meridian Legal Search is a founding member of the National Association of Legal Search Consultants (NALSC) and adheres to the NALSC Code of Ethics.