Expert Networks Compliance

Goodman Masson; New York (NY); On-site; USD 120,000 - 200,000; Full time

Benefits offered by this job

Medical insurance

401(k)

Job summary

A financial services recruiting firm in New York is seeking a Governance Recruiter for full-time employment. The role involves managing expert networks, compliance training, and providing oversight on compliance matters. The ideal candidate should have a Bachelor's degree and 5-7+ years of experience in Compliance. Competitive benefits include medical insurance and a 401(k) plan.

Qualifications

• 5‑7+ years of Compliance experience.
• Experience managing processes and workflows.
• Compliance or legal experience with an investment adviser or broker‑dealer.

Responsibilities

• Manage requests and analyze information as the lead of the expert networks team.
• Review and approve expert network requests from investment team members.
• Conduct new hire and annual compliance trainings.

Skills

Compliance experience

Organizational skills

Research skills

Education

Bachelor’s Degree

Job description

Governance Recruiter - U.S. Financial Services Markets

Pay Range: $120,000.00/yr - $200,000.00/yr

Location: New York, NY

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Responsibilities

• Serve as a lead of the expert networks team, managing requests and analyzing information.
• Review and approve expert network requests from investment team members.
• Chaperone expert network calls, documenting and tracking all calls and meeting notes.
• Analyze material non‑public information and carry out vetting procedures.
• Work closely with expert network vendors.
• Update Compliance policies and procedures regarding expert network policies.
• Conduct new hire and annual compliance trainings.
• Assist the Director, Senior Compliance Counsel on data/research compliance matters.
• Handle compliance inquiries and provide oversight and guidance to the investment and non‑investment staff.
• Assist the team on the Compliance Annual review process.
• Support the Compliance Department with ongoing regulatory requirements and enforce Compliance policies.
• Escalate matters to Compliance management as necessary.
• Participate in ad‑hoc requests as needed.

Qualifications

• Bachelor’s Degree required.
• 5‑7+ years of Compliance experience.
• Experience managing processes and workflows.
• Compliance or legal experience with an investment adviser or broker‑dealer.
• Strong organizational and research skills.

Seniority Level

Mid‑Senior level

Employment Type

Full‑time

Job Function

Finance

Benefits: Medical insurance, 401(k).