Compliance Officer

ConsultNet Technology Services and Solutions; New York (NY); On-site; USD 70,000 - 90,000; Full time

Job summary

A leading compliance services firm in New York, NY, is seeking a Compliance Analyst to oversee SEC compliance for investment products. Responsibilities include reviewing marketing materials, conducting training, and monitoring regulatory developments. Ideal candidates will have experience with SEC and NFA obligations. This position offers a competitive salary and contributes to maintaining regulatory integrity within the firm.

Responsibilities

• Review investment product marketing materials for SEC compliance.
• Complete private quarterly reporting.
• Perform private fund compliance testing and monitoring.
• Assist in conducting company-wide training to meet SEC, NFA, and FINRA obligations.
• Facilitate periodic committee materials and reporting metrics.
• Monitor industry-wide compliance initiatives and regulatory developments.
• Oversee NFA and CFTC regulatory obligations.

Job description

• Review investment product marketing materials for SEC compliance.
• Complete private quarterly reporting.
• Perform private fund compliance testing and monitoring.
• Assist in conducting company-wide training to meet SEC, NFA, and FINRA obligations.
• Facilitate periodic committee materials and reporting metrics.
• Monitor industry-wide compliance initiatives as well as important federal, state, and non-U.S. regulatory developments and conduct analyses as to how such developments impact our activities.
• Oversee NFA and CFTC regulatory obligations, including required filings, annual renewals, system access administration, fee confirmations, regulatory inquiries, privacy mailing confirmations, and the firm’s annual self-examination.