Top buy-side firm offering exposure to an extraordinary network of the world’s industry leaders.
Buy Side Compliance
in Financial Services PermanentJob Detail
Job Description
Responsibilities/Job Duties:
- Drive all phases of the product development lifecycle, including development, engineering, guiding QA on test scenarios, and sales
- Implement and improve areas such as surveillance and testing, drafting of policies, compliance-related documents, and reporting
- Perform surveillance and testing associated with the firm’s compliance policies and procedures
- Liaison with internal teams, including Legal and Marketing, to address regulatory matters
- Identify and respond to business and regulatory changes and improvements
- Assist in writing, reviewing, and testing compliance policies and procedures
- Assist in external audits, regulatory examinations, and other compliance inquiries
- Drive rollout of new functionality enhancements by engaging sales and clients directly
- Maintain ongoing knowledge of industry regulations and trends that directly impact our clients and company
- Produce and maintain documentation for internal and external stakeholders
Qualifications:
- Bachelor’s degree in relevant field required
- Experience in buy side asset management
- Experience in the financial services industry, with a focus on legal or compliance functions
- Demonstrated knowledge of regulatory requirements
- Strong background in strategies related to investment products
- Exceptional written and verbal communication skills
- Strong organizational skills and ability to effectively prioritize tasks
- Ability to make quick and critical decisions
- Proficiency in Microsoft Office, especially Word, PowerPoint, and Excel
- Exceptional problem-solving skills and attention to detail
Required skills
- ShareAustin:
Related Jobs
A cutting-edge Fintech company based in New York is on the search for a seasoned Relationship Manager/Business Development professional specializing in Alternative Investments.