all jobs

Compliance Generalist

$110k - $120k
New York, NY
Full-time
51-200
Apply for this job
🔴 Closes on: 
Dec 16

About The Company

Our client is a global investment manager specializing in liquid real assets within real estate, infrastructure, and natural resource equities. They are seeking a Compliance Generalist who will assist in the firm’s compliance program, personal trading policy, reviewing electronic messages, back-end reporting, and reporting to senior management.

Responsibilities

  • Schedule meetings, maintain calendars, prepare departmental invoices, and prepare expense reports for reimbursement
  • Support Compliance department as it relates to general administrative related functions
  • Coordinate and arrange travel and handle incoming mail
  • Conduct compliance reviews, testing, and monitoring of compliance policies and procedures
  • Update weekly email counts and perform electronic message review
  • Assist with administration of the firm’s personal trading policy, including monitoring employee personal trading activities, resolving exceptions, and maintaining satisfactory records using an automated personal trading system

Requirements

  • Bachelor’s degree required
  • 1-3 years of experience in a compliance administrative/generalist role
  • Experience with order management systems a plus
  • Series 7 required

Salary Range

$110,000-$120,000

Apply for this job
🔴 Closes on: 
Dec 16
all jobs
3k+

Join the #1 community for Legal Operators

Build connections with top professionals, find new career opportunities, and enhance your skill set with our resources, webinars, and awesome summits to accelerate your career growth.

Join the Community