Compliance Officer (Investment Management)

**Top\-Tier Investment Manager in Midtown is looking for a permanent Compliance Officer at the VP level!** **Responsibilities:** * Interface with the compliance team, management, operations, or legal, as appropriate, to communicate, coordinate and resolve issues and respond to requests * Counsel business associates on regulatory and compliance requirements * Coordinate with the firm’s outside service providers to ensure regulatory filings are made timely and accurately. * Update and file all required regulatory filings including, but not limited to ADVs and other periodic filings * Update and amend Compliance Manual, Code of Ethics and other compliance policies and procedures. * Conduct reviews and prepare reports on the investment adviser’s brokerage practices and best execution. * Perform Annual Compliance Review, Risk Assessment Review, Employee Compliance Training and Marketing Materials Review * Engage in special projects, initiatives, and other activities of an ad hoc nature. **Qualifications:** * In\-depth knowledge of SEC and FINRA broker\-dealer regulation and regulatory environment * Trade Surveillance experience is a must * Must have working knowledge of Investment Advisors Act of 1940 * Experience with Mutual Funds * Familiarity within a regulatory, legal, compliance or business capacity * Must have a Series 7 \& 24