Associate Compliance Manager
Job Identification Number: 781
Location: New York, NY
Job Type: Direct Hire
Job Category: Financial Services
Qualified candidates, please attach resume when applying.
Large Investment Firm seeks an Associate Compliance Manager to advise on a broad spectrum of regulatory and compliance requirements in both the public and private markets. Responsibilities include supporting the Compliance Division in formulating and performing a periodic review of key Compliance policies and controls to ensure regulatory standards and industry/peer best practices such as the Firm’s Compliance Manual and Code of Ethics, including policies on information Barrier/Chinese Wall Policy, Financial Crimes Compliance Framework, Conflicts of Interest Policy, Gifts and Entertainment Policy, and Policy on External Personal Activities and Personal Investments; as well as Conducting Compliance training on an ongoing basis to educate new hires and existing staff on the relevant regulatory requirements and compliance policies and processes.
Must have 2 to 4 years of relevant Compliance experience in financial services. Candidates from investment management or private equity firms, hedge funds and banks are preferred.
Qualified candidates should send resumes to ws@rockwood-search.com. Please put your Name and “Associate Compliance Manager” in the subject line and attach your resume as a word or PDF document. Also include contact information, salary requirements and any applicable information in the body of the email.
Salary: $90,000 - $120,000 base