Posted in General Business 30+ days ago.
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Location: New York, New York
· Visit customers on-site as required to address best practices, workflows, training, and other specific compliance needs
· Work with all levels of management
· In depth knowledge of regulatory requirements including Investment Company Act of 1940, Internal Revenue Code, ERISA, UCITS, 2a-7, etc.
· Preferred experience with and understanding of one or many regulatory body requirements not limited to SEC, IRS, Commodity Futures Trading Commission (CFTC), Financial Industry Regulatory Authority (FINRA), National Association of Insurance Commissioners (NAIC), National Futures Association (NFA), Federal Deposit Insurance Corporation (FDIC), Financial Crimes Enforcement Network (FinCEN), Financial Services and Markets Act (FSMA), Undertakings for Collective Investment in Transferable Securities (UCITS), Collective Investment Schemes (COLL), European Securities and Markets Authority (ESMA), Committee of European Securities Regulators (CESR)
· Ability to understand and decipher Prospectus, Statement of Additional Information (SAI), Investment Policies, Practices and Procedures, and other client restrictions and translate all requirements
· Experience required with Rule Coding into trading applications defining logic-based rules and workflow processes
· Knowledge of all type of investments, including domestic and international securities, equities, fixed income, derivatives, securities holding other constituents or others such as mutual funds, index securities, and other complex securities
· Advanced Excel skills is a plus (formulas, pivot tables)
· General knowledge of database systems, SQL and how an automated compliance environment functions
· A background in compliance / regulatory monitoring or financial technology preferred
· Project management skills (organized, self-motivated and deadline oriented), preference for experience with Agile or Waterfall project management methodology
· Ability to build and maintain positive relationships with all levels of management internally within the organization and with clients
· Travel: The ability to travel to client sites throughout the United States and Canada. Travel of 30%-50% is typical and but may exceed that in any given year.
· Excellent written and oral presentation skills
· Bachelors Degree in Business, Economics, Information Systems or related fields at a minimum; Masters Degree in Business (MBA), Finance, IT, Computer Science or related is ideal
· Professional certifications a plus (CFA, CRCMP, PMP, etc.)
· Minimum of 5 years in Investment Company compliance experience or related-industry compliance with an emphasis on logic-based rule coding