Compliance

Requirements:-Bachelor`s degree required -2+ years of compliance/trading support experience within asset management, or a similar financial institution -An understanding of SEC (Investment Company /40 Act / Investment Advisory Act) and FINRA regulations -Excellent analytical, problem-solving, and interpersonal skills a must; also strong communication skills with attention to detail. -Self-starter with strong work ethic able to work without independently /ability to complete projects/tasks on time -Ability to observe the highest degree of confidentiality in handling client, firm and staff data/information -Strong computer skills; have a high level of proficiency with the Microsoft Office Suite (Word/Excel/Access/etc.).