Posted on
Nov 26, 2022

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Communicate regulatory changes and trends with the client’s management team and their employees, representatives, etc.
Perform and/or oversee periodic testing of written policies and procedures to determine ongoing compliance.
Perform trading and best execution reviews; monitor/review personnel trading for conflicts of interest.

REQUIREMENTS

Ability to oversee and carry out the implementation and ongoing execution and enhancement of a full-scale compliance program.
Ability to work independently in a high demand/high productivity environment.
Work efficiently with high attention to detail and the ability to multi-task.
Carry a high level of team orientation; possess strong interpersonal communication skills and a passion to help team members and clients.
Demonstrate integrity—maintain client trust, confidentiality, and code of ethics.
Strong verbal and written communication skills.
Dependable, accountable, adaptable, and flexible.
Ability to enthusiastically support and promote the goals of our firm and its clients.

EDUCATION AND EXPERIENCE

Bachelor's degree (B.A.) or equivalent from a four-year College or University.
5-7 years or more experience in financial industry compliance and/or operations; Preferably in a manager, officer, or director role.
Experience with the current and proposed financial regulatory environment (SEC, FINRA, DOL/ERISA, CFTC).
Knowledge of Securities Act of ‘33, Investment Advisers Act of ‘40, Investment Company Act of ‘40 and related federal and state regulations.
Experience with financial industry regulatory requirements, forms & systems required; Regulatory audit/exam experience preferred.
Specific knowledge of rules and exemptions governing hedge funds, private equity funds, ’40 Act Funds and commodity pools helpful.
Familiarity with GIPS and other industry standards are a plus.

For more information: Please email jobs@dinsmore.com

Company info

Dinsmore & Shohl LLP.
Website : http://www.dinsmore.com/

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