Compliance Jobs Opportunities

Chief Compliance Officer

Financial Reporting

Mutual Fund Compliance

SEC Reporting

SOX Compliance

Vice President, Compliance

Chief Compliance Officer

Responsible for monitoring and reporting on the Company's compliance and ethics program and in providing guidance for the Board and senior management team on matters relating to legal compliance.  Develops and implements policies and procedures in connection with the operation of the Compliance Program and its related activities to detect and prevent illegal, unethical, or improper conduct.  Develops and periodically reviews and updates the Code of Conduct and collaborates with other departments to direct compliance issues to appropriate existing channels for investigation and resolution.  Responds to alleged violations of rules, regulations, policies, procedures, and the Code of Conduct by evaluating or recommending the initiation of investigative procedures.  Provides reports on a regular basis, and as directed or requested, to keep the Board or Board Committee and senior management informed of the operation and progress of compliance efforts.  Ensures proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required. 

Financial Reporting

Conducts technical accounting research as needed.  Prepares and maintains supporting documentation for monthly, quarterly, annual report and press releases.  Updates and collects business unit reporting packages, helps prepare 10-Q/10-K, and ad hoc financial reporting as necessary.

Mutual Fund Compliance

Prepares compliance reports for the Compliance Officers and Board of Directors regarding the compliance status of the Funds or their investment advisor.  Performs surveillance monitoring for compliance within the Funds’ policy.

SEC Reporting

Oversees SEC filings including annual and quarterly reports, forms, and correspondence by ensuring accuracy of data presented.  Prepares annual and quarterly financial statements and schedules included in the earnings release.  Oversees accounting research and compliance issues relating to filings.  Prepares financial statements, reports and records by collecting, analyzing and summarizing information as needed for pro forma statements and budgets.  Ensures financial statements comply with GAAP and SEC requirements and prepares and maintains all supporting documentation for financial statements and related footnotes.

SOX Compliance

Directs staff responsible for Sarbanes Oxley compliance.  Performs risk assessment, prepares test plans, determines sample sizes and nature of tests to be performed.  Reviews staff work papers and test results.  Assists in remediation of control gaps.  Presents findings to audit committee and senior management.

Vice President, Compliance

Manages and develops a diverse team of compliance professionals.  Directs and provides guidance and support to the business lines in developing, implementing and maintaining effective compliance programs.  Formulates compliance examination plans and schedules for respective departments and branch offices, based on internal reviews and external examination by regulatory bodies and external public auditors.  Ensures regulatory filings are prepared and filed.