We only accept local candidates (New York, NY, USA)
Job Title: Compliance Analyst
Job Experience Level: Senior (10+ Years)
Work Location Expectations: Hybrid New York, New York
Term: 3 Months
Description:
Please Note: This is a Compliance Specialist Role
Title: Risk and Controls Implementation Specialist
Summary: resource with SEC regulatory compliance experience within investment management (asset management) industry who will focus on translating the control assessment and work into a comprehensive SMBC asset management specific risk and control inventory, designing the compliance monitoring and testing plan, mapping gaps with Corporate Compliance and risk, and preparing exam-ready documentation.
This is a non-management/mid-level role, and should have first-hand experience in compliance with investment/asset managers. Key deliverables will include but not limited to: Risk assessment, testing and monitoring, and other tasks that are associated with the SEC Registered Investment Advisor compliance framework.
Comments:
A resource with SEC regulatory compliance experience within investment management (asset management) industry who will focus on translating the control assessment and work into a comprehensive SMBC asset management specific risk and control inventory, designing the compliance monitoring and testing plan, mapping gaps with Corporate Compliance and risk, and preparing exam-ready documentation.
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