078034 - Manager, US Compliance Job

Employer Name:	SpiderID: 2497971
Location: Jericho, New York	Date Posted: 9/29/2008
Wage:	Category: Finance/Investment
Job Code:

Job Description:
078034 - Manager, US Compliance LOCATION:
Jericho, LI, NY (11753) TRAVEL 10%

This is a retained Executive Search; our client is a
Major Financial organization with offices
headquartered in NYC, looking for a Manager, US
Compliance to work out of the Jericho, NY location.
If you are interested please submit your resume and
I will respond ASAP.

POSITION DETAILS

Salary Range: $170K to 180K + $50k

Best Industry: Asset Management

Best Department: Compliance-Financial Specialty

Reports to: Chief Compliance Officer

Travel: 10%

5-10 years of experience

No sponsorship available/No relocation available

4 year degree

Oversee and manage the U.S. compliance function,
including managing full time professionals
Oversee and manage the Compliance Program
(including oversight of firm-wide compliance with
the Personal Securities Trading Policy as well as
Compliance Manual
Administer Compliance training to the staff (in-
person and written)
Oversee the successful operation of the AML
program (including signoff on investor subscription
agreements)
Liaise with BNYM Risk and Compliance staff on
various projects
CCO for our client’s Registered Fund
Oversee and manage the licensing of salespeople
and FINRA compliance for non-supervisory branch
offices
Ensure timely filings and compliance with regulatory
requirements
Review fund and client account activity to detect
any potential compliance issues
Oversee and manage regulatory exams as well as
periodic internal audits
Advise management and staff of potential issues
and provide alternative solutions
Oversee and manage the approval process for new
products and marketing, advertising, and
communications materials to ensure compliance
with regulatory requirements
Prepare documentation and respond to internal
and/or external compliance questions

Job Requirements:
CANDIDATE MUST HAVE:

Minimum 5 years compliance experience including
strong, proven managerial experience

Experience with the Investment Advisers Act

Bachelor¡¦s Degree or equivalent required

Graduate degree, law degree and/or CPA is a plus

Proven leadership, Team player, Self starter, Ability
to work independently, Multi-task

Job Criteria:
Start Date:
Position Type: Full-Time Permanent
Years of Experience Required: 7
Education Required: Bachelors
Overnight Travel:
Vacation Time:

Contact Information:

Contact Name: Gabriel Gonzalez	Company Type: Recruiter
Company:

City: New York
State: New York
Zip:

Web Site: http://www.barronsys.com