Our client is an asset management firm. They seek a Compliance Manager to join their Greenwich, CT office.

Responsibilities

• Manage the implementation and management of regulatory requirements
• Oversee regulatory filings, including ad hoc filings and periodic SEC filings
• Complete ongoing testing of various internal policies and procedures
• Prepare and review materials for the annual compliance review
• Draft compliance reports for multiple meetings, including the board of directors
• Work with service providers, including transfer agents and fund accountants

Requirements

• 7+ years of regulatory compliance experience
• Strong knowledge of credit markets
• Understanding of Federal Securities Laws
• Organized with a keen attention to detail
• Able to understand complex issues
• Strong written and verbal communication skills
• Advanced Excel Skills

JobID: 17056