US-NY: New York-Compliance - AVP / VP

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Job Title: Compliance - AVP / VP
Job Location: NY: New York
Pay Rate: -
Job Length: full time
Start Date: 2008-08-07

Company Name: The Execu|Search Group
Contact: Gregory Saukulak
Phone: email only
Fax: 212-972-0250

Description:
Responsibilities of the Compliance - AVP / VP include:

- Reviewing and commenting on a diverse range of new business and product proposals
- Identifying and addressing any legal, compliance, regulatory and reputation risks
- Ensuring compliance with internal policies
- Assisting with managing legal and regulatory issues associated with the expansion of firm’s businesses in the U.S. and Latin America
- Drafting and negotiating legal documentation for the domestic businesses (structured products, derivatives, and fund investment/subscription documentation)
- Reviewing marketing and offering materials for structured products and funds distribution businesses
- Assisting in drafting and reviewing the groups policies and procedures on legal, regulatory and compliance matters
- Managing and assisting with regulatory investigations and inquiries involving the domestic businesses

Required Skills:

- 2-5 years of legal experience in the securities or financial services practice of a law firm or in-house in the investment banking or financial services industry
- Working knowledge of securities legislation (1933 Act, 1934 Act, 1940 Act, Investment Advisers Act, FINRA Rules)
- Familiarity with documentation, ISDS, SEC/NASD compliance, sell side and sell side compliance
- New York State Bar Association membership
- JD
Job Type: Finance Accounting

Please refer to Job code J48739 when responding to this ad.

For FASTEST PROCESSING of your resume, please visit http://www.jobcircle.com/classifieds/1125442.html?source=ng to apply online.

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