Posted on Jan 27, 2019 by Robert Walters Associates Inc
The ideal candidate for this role will have experience in working with different investment strategies and covering the compliance function for these strategies. Additionally, this candidate will have proficiency with the Advisers Act and Investment Company Act, among other pertinent rules and regulations.
- Review and approve marketing and advertising materials and ensiure their adherence to proper rules and regulations
- Prepare and execute US and international regulatory filings for respective clients
- Prepare and deliver compliance training for client employees, with specific focus on gifts & entertainment and Pay-to-Pay
- Implement and monitor compliance testing systems to ensure efficiency of controls and surveillance programs
Please feel free to apply today, or contact me, Bob Moseman, at for a confidential conversation.A top-tier investment management compliance consulting firm seeks a senior (director-level) compliance professional to join their growing initiative on the West Coast.