Compliance Manager

Gainor Staffing; New York (NY); Hybrid; USD 90,000 - 150,000; Full time

Benefits offered by this job

Health insurance

Generous PTO

Job summary

A leading investment management firm in Midtown Manhattan is seeking a Compliance Manager to oversee regulatory compliance standards. This hybrid position requires 5-10 years of experience in compliance and relevant assessments of policies and procedures. The firm offers a salary range of $90-150k annually, along with excellent benefits and generous PTO.

Qualifications

• 5-10 years’ experience in Compliance at an investment management firm.
• Capital Markets deal execution experience is essential.
• Must be able to obtain required securities licenses within a year.

Responsibilities

• Oversee FINRA, SEC, FCA and other regulatory compliance.
• Maintain company policies and procedures related to compliance.
• Monitor trades and escalate issues.

Skills

Experience in Compliance

Numerical ability

Data analytics skills

Education

Bachelor’s degree (preferred majors: Finance, Accounting, Data Science)

Tools

Securities licenses (Series 4, 7, 24, 57, 63)

Job description

Overview

Our client is a prominent international investment management firm. They are seeking a Compliance Manager to join the team. This position is hybrid and based 3 out of 5 days per week at their Midtown Manhattan office. The firm offers excellent benefits, including health insurance and generous PTO.

Responsibilities

• Oversee FINRA, SEC, FCA and other regulatory compliance
• Maintain company policies and procedures related to compliance
• Monitor trades and escalate issues
• Work cross-functionally with other Legal and Compliance team members
• Perform regular reporting and data analysis
• Salary Range: $90-150k annually, based on experience
• Excellent benefits package includes health insurance and generous PTO!

Skills and Qualifications

• Bachelor’s degree required (preferred majors: Finance, Accounting, Data Science or similar)
• 5-10 years’ experience in Compliance at an investment management firm
• Must have Series 4, 7, 24, 57, and 63 securities licenses (or able to obtain within a year)
• Must have Capital Markets deal execution experience
• Strong numerical ability and data analytics skills

Equal Employment Opportunity

Gainor provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, creed, sex, sexual orientation, gender (including gender identity and expression), age, national origin, immigration status, marital or familial status, citizenship status, ancestry, physical or mental disability, genetic information, reproductive health decision making, veteran or military status, or any other characteristic or status protected under applicable federal, state, or local law.