Compliance Officer

Posted yesterday

consultnet technology services solutionsNew York (NY)

Compliance Officers Miscellaneous Financial Investment Activities

SENIORITY

Senior

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About the role

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.

Before you apply

Applying takes about a minute. These four things decide how fast it moves after that.

Your profile is current

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Two examples you can talk through

Not a portfolio — just two pieces of work where you can explain the decisions and what you'd change.

A number in mind

What you're on now and what would make you move. We negotiate better when we know both.

Your notice period

Employers plan around it, and it's the question that stalls offers most often.

Once you apply, someone reads it and calls you before anything reaches the employer — usually within two working days.