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Compliance Manager
Ref No.: 17-04062
Location: New York, New York
Position Type:Full Time
Pay Rate : $ 80,000.00 - 125,000.00 /Year
A financial technology company is looking for a Compliance Manager to help with building out the framework and compliance program for defined contribution plans. Here is a rundown of what the Compliance Manager will do and the experience they need:
  • Strategic mindset able to think through possible paths and outcomes, accurately assessing risk
  • A deep understanding of SEC investment services and investment management, including investment product allocations, product research & analysis, along with trading and rebalancing
  • Deep, working knowledge of ERISA and Department of Labor requirements for retirement planning
  • Experience acting as a fiduciary on behalf of financial advisors, company executives and their employees
  • Thorough technical operation risk and compliance knowledge
  • 5 years of wealth management and/or ERISA 401(k)/403(b) experience
  • Strong knowledge of recordkeeping, trading/rebalancing, trade execution, custody and trust operations
  • A minimum of 5 years in banking, investment management, wealth management, and/or retirement investing
  • A minimum of 5 years risk operations and compliance experience
  • Drive the 401(k), 403(b) legal documentation with our ERISA counsel and general counsel
  • Keep the firm aligned with the SEC, DOL, and ERISA requirements
  • Oversee ADV and SEC filings
  • Serve as point person with regulators on audits
  • Work with prospective client firms during procurement
  • Develop compliance testing
  • Responsible for overseeing and managing the regulatory exams for personnel across the company
  • Ensure compliance with state and federal law as it pertains to investment management and retirement fiduciary services
  • Manage and report operational losses under any trading circumstances
  • Complete internal audit, corporate compliance, examiners, legal, risk and regulatory reporting
Preferred Qualifications:
  • CFA charter holder
  • Series 65 license
  • JD or MBA graduate degree, doctorate or junior doctorate from top university







Third Party Applications Not Accepted