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Job Ref: 14454

Salary: $80000 – $95000

Junior Compliance Officer/Corporate Secretary Hybrid
Exciting opportunity, located in Manhattan, at least two days in the office per week are required
Exempt, base salary $80-95k (salary is contingent on experience) + eligibility for discretionary bonus based on qualitative performance measures.
• Bachelor’s degree with a strong academic record required. Preferably in Finance, Law, Business, or Financial Services.
• 2-5 years of Compliance, legal, corporate planning or related experience, preferably at a registered investment adviser, other regulated financial institutions, the SEC, or a regulatory consulting firm.
• General understanding or ability of understanding of Federal Securities Laws, especially the Investment Advisers Act of 1940; ability to comprehend and apply applicable laws and regulations.
Essential Duties/Function:
• Assist Compliance Officer in the following:
o Develop regulatory and compliance policies, procedures, and processes in accordance with applicable laws
and regulations; analyze applicable laws and regulations for impact on the regulatory and compliance monitoring function.
o Perform Regulatory and compliance oversight and testing to ensure the adequacy of the compliance programs as they relate to insider trading and other securities-related matters, including e-mail monitoring
policies and procedures.
o Implement procedures to address new regulatory rules and requirements; prepare and maintain various regulatory filings.
o Coordinate and respond to Regulatory and/or compliance examinations conducted by internal or external parties.
o Conduct internal audits and surveillance of departmental adherence to corporate rules and regulations.
• Assist the Corporate Secretary in scheduling and preparation for Board and Compliance Committee meetings (the “Meeting”), preparing the Meeting materials, agendas, and minutes, maintaining corporate governance
documents including by-laws and charters, prepare state filings.


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