Our client, a leading global investment manager, is looking for a Senior Compliance Manager in Houston or Atlanta. You will be working closely with the US CCO.
The ideal candidate must have significant experience leading a team at an SEC-registered advisor preferably at a Retail RIA and will be responsible for overseeing and monitoring the compliance program on a day-to-day basis as well as acting as CCO for the robo advisor. Strong knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940 is required with CFTC/FINRA regulatory knowledge a plus. Background with testing and reporting programs within a compliance governance setting preferred.
This newly created role will suit a highly motivated, entrepreneurial professional with an appetite to learn and a desire to work in a fast paced international environment. You will need to possess a strong academic profile, excellent organizational & communication skills and the ability to work with moderate supervision. Relocation package is an option for the right candidate.
For more information, please contact Benjamin Ellison on 646 766 1212 or ben.ellison@ twentyrecruitment.com