Product Compliance SME - Asset Management

JCW Group

New York (NY)

On-site

USD 120,000 - 180,000

Full time

14 days+

Application generator

An application made for this job — a tailored resume and cover letter that speak straight to the posting.

Get past ATS filters

Job summary

JCW Group is hiring for a senior compliance position in New York, aimed at overseeing global compliance monitoring and supporting SEC, FINRA, and Canadian regulatory needs. The ideal candidate will have over 10 years of compliance advisory experience in the financial services sector. Knowledge of SEC/FINRA regulations and experience with registered investment advisers or broker-dealers are crucial. This role will involve direct interaction with stakeholders and regulatory bodies.

Qualifications

10+ years of compliance advisory experience in financial services.
Direct experience supporting a registered investment adviser and/or broker-dealer.
Strong SEC/FINRA knowledge with Canadian regulatory exposure being a plus.

Responsibilities

Oversee global compliance monitoring across various regulations and codes.
Conduct reviews of advertising rules for marketing and collateral.
Act as a contact point for SEC, FINRA, and OSC.

Skills

Compliance advisory experience

SEC/FINRA knowledge

Canadian regulatory exposure

Advising senior stakeholders

Job description

JCW is partnering with a global institutional asset manager on a senior compliance hire in New York.

This is a varied seat covering both registered investment adviser and broker-dealer activity, with cross-border exposure into Canadian regulatory work.

What you'll own:

Global compliance monitoring across Code of Ethics, AML, advertising review, and allocations
US and Canadian advertising rule review for marketing and brand collateral
Acting as a secondary point of contact for SEC, FINRA, and OSC
AML, KYC, and investor onboarding obligations
Canadian regulated filings under the firm's license
Initial, annual, and ad-hoc compliance training across the business

What we're looking for:

10+ years of compliance advisory experience in financial services
Direct experience supporting a registered investment adviser and/or broker-dealer
Strong SEC/FINRA knowledge; Canadian regulatory exposure is a strong plus
FINRA Series 7, 24, and/or 14 desirable; CAMS a plus
Credible advising senior stakeholders and owning regulator relationships