$90000 - $1500000 Year
Monday to Friday
Day shift
Health insurance
Paid time off
Employee discount
Dental insurance
Vision insurance
401(k)
401(k) matching
Flexible schedule
Parental Leave
Tuition reimbursement
Flexible spending account
Retirement plan
Others
Description
Our client is a prominent international investment management firm. They are seeking a Compliance Manager to join the team. This position is hybrid and based 3 out of 5 days per week at their beautiful office in Midtown Manhattan. The firm offers excellent benefits, including health insurance and generous PTO!
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Job Details
Oversee FINRA, SEC, FCA and other regulatory compliance
Maintain company policies and procedures related to compliance
Monitor trades and escalate issues
Work cross-functionally with other Legal and Compliance team members
Perform regular reporting and data analysis
Salary Range: $90-150k annually, based on experience
Excellent benefits package includes health insurance and generous PTO!
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Skills and Qualifications
Bachelor’s degree required (preferred majors: Finance, Accounting, Data Science or similar)
5-10 years’ experience in Compliance at an investment management firm
Must have Series 4, 7, 24, 57, and 63 securities licenses (or able to obtain within a year)
Must have Capital Markets deal execution experience
Strong numerical ability and data analytics skills
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Gainor provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, creed, sex, sexual orientation, gender (including gender identity and expression), age, national origin, immigration status, marital or familial status, citizenship status, ancestry, physical or mental disability, genetic information, reproductive health decision making, veteran or military status, or any other characteristic or status protected under applicable federal, state, or local law.
Communication
Leadership
Teamwork
Interpersonal
Learning/adaptability
Self-management
Organizational
Computer
Problem solving
Open mindedness
Strong work ethic
technology
Others
5-10 years
Manufacturing
On going position
Hybrid Remote