More jobs:
Compliance Officer, Finance & Banking
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-03-01
Listing for:
ConsultNet Technology Services and Solutions
Full Time
position Listed on 2026-03-01
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
- Review investment product marketing materials for SEC compliance.
- Complete private quarterly reporting.
- Perform private fund compliance testing and monitoring.
- Assist in conducting company-wide training to meet SEC, NFA, and FINRA obligations.
- Facilitate periodic committee materials and reporting metrics.
- Monitor industry-wide compliance initiatives as well as important federal, state, and non-U.S. regulatory developments and conduct analyses as to how such developments impact our activities.
- Oversee NFA and CFTC regulatory obligations, including required filings, annual renewals, system access administration, fee confirmations, regulatory inquiries, privacy mailing confirmations, and the firm’s annual self-examination.
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