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Compliance Officer (Asset Management) - NJ/NYC
This newly created position will report into the Chief Compliance Officer and play a key role in ensuring the day-to-day aspects for all trade compliance/portfolio surveillance compliance/ investment guideline monitoring compliance matters. The ideal candidate will have generalist compliance experience at a registered investment advisor and experience performing/overseeing guideline compliance monitoring/trade compliance work. Exposure to all asset classes preferred equities, fixed income, alternatives) strongly preferred. Experience with private funds, ETF regulations and mutual funds preferred. Knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, SEC and FINRA regulations as well as hands-on experience with trading/portfolio compliance monito


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