Senior Compliance Associate

Job Identification Number

566

Location

New York, New York

Salary

Commensurate

Job Type

Permanent

Job Category

Financial Services


Overview

Our client, a global asset management firm, is seeking a Senior Compliance Associate. This role entails working with various business units to ascertain whether or not daily operations are in accordance with the firms’ policies and procedures and regulatory requirements. Other responsibilities includes: identifying risks and the effectiveness of controls in place to mitigate these risks, monitor developments in terms of new regulatory initiatives that affect the business, work with lines of business to resolve any issues identified through testing.

The ideal candidate  will have 5-7 years of experience in compliance or risk within the financial services industry. In addition, successful candidates with have strong mutual fund experience (specifically 1940 act funds).

Interested candidates should send resumes to mgoldenberg@rockwood-search.com with your name and the subject title “Senior Compliance Specialist”.