Compliance Manager jobs in United States
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Dynamics Executive Search · 3 days ago

Compliance Manager

positionNYC Metro Area
timePart-time
remoteOnsite
seniorityMid, Senior Level
date4+ years exp

Dynamics Executive Search is a well-established investment management firm known for its culture of excellence, integrity, and innovation. They are seeking a Compliance Analyst to perform portfolio and trade surveillance to ensure adherence to client guidelines and regulatory requirements, as well as assist in the administration of key compliance programs.

BankingConsultingFinancial Services
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Growth Opportunities
Hiring Manager
Scott Grossman
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Responsibilities

Support ongoing monitoring and testing programs for investment advisers and funds
Assist with mutual fund trade restrictions, client guidelines, and 1940 Act limitations
Oversee post-trade compliance processes and collaborate with fund administrators on testing and review cycles
Conduct research and document findings for compliance exceptions, escalating results as appropriate
Participate in trade surveillance, insider trading, market manipulation, and policy compliance testing
Assist with compliance certifications and reporting deliverables
Support client due diligence and regulatory filings (e.g., Form ADV, FINRA submissions, Code of Ethics certifications)
Respond to ad hoc requests and collaborate with portfolio managers in an active trading environment

Qualification

Compliance monitoringFund administrationRisk managementAnalytical skillsMicrosoft OfficeOrganizational skillsWritten communicationVerbal communicationTeamworkDetail-oriented

Required

Bachelor's degree required
4-10 years in compliance, fund administration, or a related function
Strong analytical and organizational skills with the ability to manage multiple priorities
Excellent written and verbal communication abilities
Proficiency in Microsoft Office applications
Ability to work both independently and as part of a team in a fast-paced environment
Detail-oriented mindset with a focus on accuracy and risk awareness

Preferred

Familiarity with investment adviser or mutual fund operations (compliance monitoring, fund accounting, or risk management)

Company

Dynamics Executive Search

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Dynamics is a leading executive search firm providing premier talent to top companies in the financial services industry.
dateFounded in 1987
location
New York, New York, USA
people-size11-50 employees
web-link
https://dynamicsnyc.com/

Funding

Current Stage
Early Stage

Leadership Team

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Scott Grossman
President
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Company data provided by crunchbase