Head of Investment Advisory Compliance
The Forum Group
New York, New York, United States
Job type: fulltime
Job industry: Legal
Primary Oversight Responsibilities:
- Code of Ethics and Personal Trading Compliance program
- Preclearance, Post Trade Monitoring and Employee Certifications
- Outside Business Activity reviews
- Other Employee Conduct & Regulatory policies
- Gifts & Entertainment
- Pay to Play
- Lobbyist Registration & Reporting
- Anti-Bribery/Anti-Corruption, including FCPA
- SEC and other regulatory filings (13f, 13g, Form S, ADV offer, etc.)
- Annual Compliance Training
- Marketing Material Review
- Ensure compliance with internal guidelines, investment advisor rules, GIPS standards, and FINRA where applicable
- FINRA rules for our Office of Supervisory Jurisdiction (OSJ)
- Work with other compliance and legal professionals to keep current our Compliance policies and evolve or create new policies based on new business or regulatory changes.
- Present at client and prospective due diligence meetings.
- Bachelor's degree
- Minimum of 10 years compliance experience with at least 5 years' experience working with an investment management firm
- Supervisory experience is required and strong people management skills.
- Understanding of Investment Advisor's Act of 1940
- Knowledge of Global Investment Performance Standards (GIPS)
- Excellent written and oral communication skills with ability to interface with and influence senior management as well as other peers and colleagues.
- Established ability to multi-task, prioritize and organize time effectively in a fast-pace environment with changing deadlines.
- Demonstrates strong analytical skills and attention to detail consistently.
- Strong ability to provide performance feedback and articulate actionable advice to help develop team.
- Strong ability to develop effective working relationships with investment staff and make articulate recommendations to department managers regarding potential solutions to issues.