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AVP, Compliance (Marketing Review)

Description

Ref ID: 02944-9501704288

Classification: Account Executive/Staffing Manager

Compensation: $130,000.00 to $150,000.00 per year

A key compliance contact and advisor for firm?s global business development activities, responsible for ensuring premier client service and professional relations between the firm?s Compliance department and the firm?s Business Development Group (?BDG?) including: o As directed by the AVP ? Compliance Officer of BDG - review and analyze sales literature and marketing materials for various pooled vehicles, including unregistered funds, as well as separately managed accounts to assess compliance with any or all of SEC, FINRA, non-US, o Provide guidance and recommendations to business unit personnel to promote compliance; o Provide compliance advice and guidance to the firm?s global investor relations team; o Keep up-to-date on global regulations and regulatory environment in assigned area, and participate in training and education for other Compliance personnel as well as business unit personnel; o Participate in Compliance Department initiatives and projects on an ad hoc basis. Work closely with the firm?s Legal Department to: determine application of and interpret relevant laws, regulations and rules; resolve issues; and help ensure consistent flow of information between Compliance and Legal. Please send all resumes to [Click Here to Email Your Resumé]

Requirements

? Series 7, 63, preferred ? 7-10 years of directly-relevant experience; ? Familiarity with SEC regulatory review and interpretation of regulations; ? Ability to manage challenging workflow in-fast paced, dynamic organization, managing multiple assignments in a deadline driven environment; ? Organizational skills, demonstrated ability to manage competing priorities and lead projects to completion; ? Proven ability to communicate effectively with all levels of management, auditors and regulatory examiners; and ? Experience with alternative credit-based strategies a significant plus.

Robert Half Finance & Accounting, the world's leader in specialized financial staffing, provides exciting full-time opportunities in the areas of accounting, bookkeeping, finance, audit, taxation and more. We pioneered the professional staffing industry, and we've been successfully matching professionals with employers since 1948. Our proven proprietary processes, along with our relationships in 325 locations worldwide, allow us to provide you unparalleled access to exciting career opportunities. But don't take our word for it. Our company has appeared on Fortune® magazine's list of "World's Most Admired Companies" since 1998, and 9 out of 10 of our customers would recommend our service to a colleague.

Apply for this job now or contact our nearest office at 888-490-5461 for additional information.

All applicants applying for U.S. job openings must be authorized to work in the United States. All applicants applying for Canadian job openings must be authorized to work in Canada.

© 2019 Robert Half Finance & Accounting. An Equal Opportunity Employer M/F/Disability/Veterans

By clicking 'Apply Now' you are agreeing to Robert Half Terms of Use.

Job Snapshot

Location US-NY-New York
Employment Type Full-Time
Pay Type Year
Pay Rate $130,000.00 - $150,000.00 /Year
Store Type Accounting, Finance
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Company Overview

Robert Half Finance & Accounting U.S

Robert Half Finance & Accounting pioneered specialized financial recruitment in 1948 and today, as a result, is the worldwide leader in the industry. We specialize in placing experienced professionals in areas such as accounting, finance, credit and collections, bookkeeping, payroll and taxation. For six decades, we have developed lasting relationships with the industry- leading companies we serve, giving us access to the best career opportunities for our candidates. Learn More

Contact Information

US-NY-New York
Recruiter
212-835-4916
212-983-5629
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Snapshot
Robert Half Finance & Accounting U.S
Company:
US-NY-New York
Location:
Full-Time
Employment Type:
Year
Pay Type:
$130,000.00 - $150,000.00 /Year
Pay Rate:
Accounting, Finance
Store Type:

Description

Ref ID: 02944-9501704288

Classification: Account Executive/Staffing Manager

Compensation: $130,000.00 to $150,000.00 per year

A key compliance contact and advisor for firm?s global business development activities, responsible for ensuring premier client service and professional relations between the firm?s Compliance department and the firm?s Business Development Group (?BDG?) including: o As directed by the AVP ? Compliance Officer of BDG - review and analyze sales literature and marketing materials for various pooled vehicles, including unregistered funds, as well as separately managed accounts to assess compliance with any or all of SEC, FINRA, non-US, o Provide guidance and recommendations to business unit personnel to promote compliance; o Provide compliance advice and guidance to the firm?s global investor relations team; o Keep up-to-date on global regulations and regulatory environment in assigned area, and participate in training and education for other Compliance personnel as well as business unit personnel; o Participate in Compliance Department initiatives and projects on an ad hoc basis. Work closely with the firm?s Legal Department to: determine application of and interpret relevant laws, regulations and rules; resolve issues; and help ensure consistent flow of information between Compliance and Legal. Please send all resumes to [Click Here to Email Your Resumé]

Requirements

? Series 7, 63, preferred ? 7-10 years of directly-relevant experience; ? Familiarity with SEC regulatory review and interpretation of regulations; ? Ability to manage challenging workflow in-fast paced, dynamic organization, managing multiple assignments in a deadline driven environment; ? Organizational skills, demonstrated ability to manage competing priorities and lead projects to completion; ? Proven ability to communicate effectively with all levels of management, auditors and regulatory examiners; and ? Experience with alternative credit-based strategies a significant plus.

Robert Half Finance & Accounting, the world's leader in specialized financial staffing, provides exciting full-time opportunities in the areas of accounting, bookkeeping, finance, audit, taxation and more. We pioneered the professional staffing industry, and we've been successfully matching professionals with employers since 1948. Our proven proprietary processes, along with our relationships in 325 locations worldwide, allow us to provide you unparalleled access to exciting career opportunities. But don't take our word for it. Our company has appeared on Fortune® magazine's list of "World's Most Admired Companies" since 1998, and 9 out of 10 of our customers would recommend our service to a colleague.

Apply for this job now or contact our nearest office at 888-490-5461 for additional information.

All applicants applying for U.S. job openings must be authorized to work in the United States. All applicants applying for Canadian job openings must be authorized to work in Canada.

© 2019 Robert Half Finance & Accounting. An Equal Opportunity Employer M/F/Disability/Veterans

By clicking 'Apply Now' you are agreeing to Robert Half Terms of Use.
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