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Form of workJob Description
A financial consulting firm in New York City is actively seeking an experienced and analytical professional to join their staff as their new Investment Advisor Associate Director.
Responsibilities:
The Investment Advisor Associate Director will:
- Establish and/or maintain a compliance program
- Draft Compliance Manuals and Code of Ethics Procedures
- Assist with annual reviews
- Draft Form ADV amendments
- Serve as Chief Compliance Officer for clients in limited circumstances
- Review marketing materials
- Assist in all regulatory examinations and inquires
- Participate in SEC mock exams
Qualifications:
- 3+ years of Investment Advisory experience
- Bachelor's Degree
- Demonstrated understanding of the Investment Advisors Act of 1940
- Solid analytical and research skills
- Great interpersonal skills:
- Excellent communication skills (written and verbal)
- Strong attention to detail
- Highly organized
Desired Skills:
- Broker/Dealer Compliance Experience
- Experience in various types of IA Business lines
