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 on-going 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 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.
ABOUT THE COMPANY
Dinsmore Compliance Services, LLC (“DCS”) is a growing provider of outsource compliance services and solutions to investment advisers, municipal advisers, hedge funds, and broker-dealers. We offer full chief compliance officer (CCO) services, consulting, assessments, and financial operations (FINOPs) consulting, through an experienced and close-knit team of professionals. We offer competitive compensation, health benefits, and a 401(k) retirement plan. DCS is an affiliate of the national, full-service law firm Dinsmore & Shohl LLP.
To learn more about our firm please visit ****. Equal Opportunity Employer.
For more information: Please email ****.