FIN-112 Investment Compliance Administrator – Staff – Santa Barbara County, CA (local candidates only)
prospring
Barbara County, CA (local candidates only)
Salary: BOE (excellent compensation package)
A leading fixed income investment firm in Santa Barbara County is
looking for a Compliance Administrator. This is a permanent, full-time
position reporting to the Chief Compliance Officer.
You should have experience working for an Asset Management or
Investment Advisory firm.
The ideal candidate is a skilled compliance professional with fixed
income experience who will assist the CCO and the Compliance Manager
in handling the compliance function for this specialty bond management
firm.
This is an opportunity to work at a fast-paced, highly successful
company located steps from the ocean in a beautiful beach community an
hour or so north of Los Angeles.
Job functions:
Collaborate on the development, implementation and management
of the firm�s compliance function.
Assist with the firm�s internal annual compliance review.
Perform reviews of advertising materials.
Assist on regulatory exams and respond to compliance-related
inquiries.
Perform work related to periodic SEC and FSA filings.
Assist with monitoring and implementation of guideline
compliance.
Perform duties related to client compliance reporting.
Participate in the drafting/revising of compliance policies
and procedures, including a comprehensive compliance manual.
Assist with in-house reviews to test compliance policies and
procedures.
Assist with preparation and filing of Form ADV.
Handle special projects as requested.
Requirements:
o. Undergraduate degree with a preferred major in business, finance,
economics or related field (Absolutely Required)
o. 5+ years experience assisting with investment advisory compliance
(Required)
o. Experience monitoring portfolio compliance issues and work related
to advertising reviews (Required)
o. Fixed income experience preferred
o. Experience with Bloomberg, Microsoft Excel, Word and Outlook
preferred
Notes:
o. Please note this is a compliance administrator position, not a
Compliance Manager or Compliance Officer position. You will report to
the Chief Compliance Officer and assist him/her with compliance
issues.
o. US citizens, Green Card Holders and those authorized to work in the
US are encouraged to apply. (Sorry, the client is unable to sponsor
H1b candidates at this time.)
o. This is a fulltime on-site staff position near Santa Barbara
o. Local candidates only
o. To be considered, please apply via our online application (the
information you provide will be forwarded with your resume to the
hiring manager): <a href="http://www.maxhire.net/cp/?
E55868361E43717B77501D6539521D63482D7D"> Apply Here </a>