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COMPLIANCE ASSOCIATE: Dhr Solutions

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Job ID73
Company NameDhr Solutions
Job CategoryAccounting/Finance; Legal
LocationJersey City, NJ
Position TypeFull-Time, Employee
Salary$70,000 to $80,000 per year
Experience2-5 Years Experience
Desired Education LevelBachelor of Science
Date PostedMay 1, 2008 (Reposted May 20)
Dhr Solutions
View Dhr Solutions profile and job listings
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Excellent opportunity for a candidate with a compliance background. Client is located in Jersey City just steps away from the PATH train. Client will not consider applicants with their JD.

Job Responsibilities:

· Focus on compliance surveillance for the Separately Managed Account (SMA) group

· Provide oversight of account setup, including suitability review

· Assist in review of investment policy statements

· Monitor SMA trading activity for compliance with investment guidelines/restrictions and regulatory concerns

· Review of error reports

· Ongoing general compliance support for SMA group

· Participate in special projects within Compliance

Qualifications:

· 3 – 5 years of compliance or operations experience within an investment advisory or asset management business

· Experience with wrap-fee and separately managed accounts

· Knowledge of Investment Advisers Act of 1940 and fiduciary principles in general

· Understanding of SMA distribution channels and knowledge of Managed Account Operations

· Ability to identify and analyze regulatory and compliance issues

· Strong interpersonal, verbal and written communication skills

· Excellent organizational and follow-up skills

· Attention to detail

· Able to handle multiple tasks with varying deadlines

Education:

Bachelor’s Degree

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