Advisory Compliance and Investment Management Opportunities

1.) Global Banking giant seeks VP Compliance Officer.

Responsibilities:Maintaining the public side restricted listDownloading information from Intralinks and Syndtrak (Internet syndication and agency workspaces) for investment and operations purposesReview and cleansing of potentially material information and dissemination to analysts in connection with information barrier proceduresUpdating and creating policies and proceduresReviewing daily, weekly and quarterly trade surveillance tests and reportsMonitoring Intralinks and Syndtrak accessNew employee and ad hoc training

Previous Hedge Fund, CDO or Control Room Experience a Plus! (3686)

2.) One of the nation's leading Mutual Fund Companies, currently managing more than $170 billion in more than 200 mutual fund portfolios nationwide, seeks a Compliance Manager to manage a staff of Compliance Analysts in developing and maintaining the compliance program for mutual funds.

Qualifications:10+ years industry experience with either investment advisor, compliance, or mutual fund compliance Knowledge of securities and markets, in-depth knowledge of Investment Adviser Act regulations and Investment Company regulations; prior experience in due diligence of investment advisers; experience in designing and supervising compliance testingPrior management experienceStrong PC skills and ability to interface effectively on systems issuesAdvanced degree a plus (3684)

3.) Make a move into a choice position...International Wealth Management Banking powerhouse is seeking a Compliance Officer.

Responsibilities:Review of marketing, sales literature, and advertising materials related to investment advisor, private funds, and mutual fund businessPerform regular monitoring of the sales and shareholder servicing activities of mutual fundsReview and revise compliance policies and procedures for marketing of separately managed accounts, private funds, and registered fundsConduct in-house reviews to test compliance policies and procedures related to sales and coordinate follow-up action by affected departmentsAssist in regulatory exams and handle requests for information, and liaise with Broker-Dealer clients on compliance related mattersInvestigate customer complaints regarding breaches of Firm policies and procedures and administer NASD complaint reportingConduct regulatory and compliance training for registered representatives.

Qualifications:4-8 years investment company compliance experience with knowledge of the NASD Rules and Regulations and the IA Act of 1940Experience with a medium to large sized financial services firm with diverse businesses (e.g., Broker-Dealer, investment adviser, investment companies) preferredSeries 7, Series 24Bachelor's Degree or equivalent experience (3680)

4.) Work for one of the largest global Investment Banks and ultimately with a new vehicle that will be responsible for structuring and acquiring large pools of assets from plan sponsors in the defined benefit market as a Managing Director.

Competencies For Success:5-7 years experienceDeep understanding of financial markets and structures, innovative business concepts, and risk management Prior experience in deal structuring, tax and insurance productsStrong knowledge of ERISA laws a plusJD or MBA a plus (3687)

5.) Your brightest opportunities lie before you...Seize them! One of the largest global Hedge Funds specializing in corporate event investing is seeking a Compliance Associate with 2+ years experience, preferably in surveillance, but will consider paralegals with compliance experience, as well.

Responsibilities:Assist in the development and implementation of global compliance policies and proceduresAssist with Firm compliance monitoring and testing of investment guidelines, trade allocations, and best executionAssist with trade surveillance to ensure compliance with restricted list and watch listsAssist investment professionals with various trading issues and questionsPrepare for regulatory auditsPrepare related regulatory filings and disclosures (3649)

6.) Mutual Fund Compliance Analyst needed for elite Registered Investment Advisor to assist Chief Compliance Officer in implementation of the Mutual Fund Compliance Program under Rule 38-1 of the Investment Company Act.

Responsibilities:Overseeing compliance monitoring and testing of the regulation under the Investment Company Act of 1940Overseeing the Fund Service Provider's compliance programsMaintaining and updating the written Mutual Fund Compliance Policies and ProceduresPreparation of the annual compliance report to the Board of DirectorsAssist Chief Compliance Officer in implementing the Transfer Agent Compliance ProgramPrepare and file Form BDFile quarterly customer complaints with the NASDCoordinate continuing education and regulatory element for 55 registered representativesReview Marketing materials for compliance with NASD/SEC regulationsAssist CCO in coordination for NASD AuditsAssist in the preparation of the Annual Compliance AssessmentMaintain Written Supervisory Procedures for the Broker-DealerAssist in Client Intake Process for Broker-Dealers selling our mutual funds including working with the sales department on dealer agreements, due diligence and tracking of information in Management softwareAssist Compliance manager when necessary to review Mutual Fund SEC filings such as 485(b), N-CSR, N-Q, N-SAR, 24F-2, N-PX and 17g-1

Responsibilities:4+ years mutual fund compliance experienceKnowledge of Investment Company Act regulations and mutual fund industryKnowledge of Transfer Agent, Investment Adviser and Broker-Dealer Regulations a plusKnowledge of Word, Excel, Edgar Ease a plusSeries 7 and Series 24 a plus (3638)

7.) Make a wisely calculated career move! Investment Bank Giant headquartered in New York is seeking a Quant Analyst to join its team to manage a long-only $30M portfolio over three funds: Structured Core Quant Fund, a Russell 1000 Growth Quant Fund, and a Dividend Income Quant Fund. The team expects to launch a fourth long/short fund by the end of 2006.

Responsibilities:Quantitative modeling of fundamental factors, including researching and testing factors for proprietary modelsPortfolio Risk Analysis - Maintain portfolios in selected risk models and calculate risk statistics versus benchmarks, including expected alpha, tracking error and contributions to tracking error by risk factorsFactor Attribution Analysis - Assist in the development of a weekly attribution modelPrepare portfolio and index data for performance calculationsRun attribution and interpret performance resultsAssist with the investment processQualifications:1-2 years financial experience dealing with equitiesStrong proficiency in Excel and knowledge of Factset applicationsBA/BS Math, Finance, or Economics (3647)

8.) National Bank with global presence seeks Business Strategy - Internal Consultant to develop and implement both business process re-engineering and systems initiatives.

Responsibilities:Detailed business analysis and process flow designActive management and leadership of multiple initiatives, including full responsibility for technology, business processes, systems implementation, and day-to-day oversight of project teamsParticipation in strategic planning and implementation alternatives

Qualifications:5+ years consulting experience within financial services of top-tier consulting firmStrong consulting
background with a focus on operations within the financial services sectorKnowledge of investment management or financial services operationsKnowledge of industry-specific technology or applications a plusProven record of strategic analyses, large scale project and systems implementation, people recruiting and development, and financial analysesMBA or other advanced degree preferred (3612)

9.) NY-based Alternative Investment Management Firm with approximately $19 billion in capital under management across multiple businesses lines is seeking an experienced Compliance Professional to join its compliance team, reporting to the firm's Chief Compliance Officer. The successful candidate will be focused on the liquid markets trading desk and back office, and will have primary day to day responsibilities for liquid markets compliance.

Qualifications:3+ years serving in a compliance role while sitting on an active trading desk in a financial institution (preferably a hedge fund)Detailed knowledge of various trading instruments, including equities, bonds, derivatives, currencies, commoditiesExperience at a hedge fund (3447)

10.) Wait no longer to be rewarded for your computer skills! Global Bank seeks an ABS Hedge Fund Programmer to assist in development of trading and risk management system being developed in C#/.Net and Excel/Vba with SQL Server back end for a $500 million asset-backed securities hedge fund.

Qualifications:Experience in software development and designC# and VB preferred, but C++/Java acceptableExcel and database (SQL) exposureNo finance background needed, but must have strong desire to learnComputer Science, Computer Engineering, Mathematics, or equivalent BS (3611)

11.) C++/Perl Developer wanted with strong communication skills to develop risk assessment product at hedge fund in Midtown.

Qualifications:2+ experience in software developmentBS preferred: Computer Science, Software Engineering or equivalent (3372)

12.) Investment Adviser seeks GUIDELINE SURVEILLANCE ANALYST. The ideal candidate will have 3+ years of relevant experience.Experience using Charles River or comparable systemConceptual knowledge of SQL or comparableExperience with Rule 38a1 preferred (3142)

13.) Premier Asset Management Company desires an Investment Advisory - Compliance Manager.

Responsibilities:Maintenance of the firm's compliance policies and proceduresDevelop on-going testing programDevelop general firm compliance trainingOversee marketing material review process which includes AIMR/GIPS compliance, review of foreign jurisdictional requirements and working with outsourced affiliateEnsure compliance with NASD and OSJ requirementsOversee SEC, other regulatory filings and other reporting (13f, 13g, Form S, ADV offer, PIM reporting, etc.)Supervision of staff

Qualifications:7+ years experience working in an asset management firmWorking knowledge of regulatory environment (SEC, ERISA, AIMR/GIPS)Strong communication and organizational skillsStrong people management skillsProject management skills (3573)

14.) Sophisticated Insurance Services Firm seeks Senior Level Attorney with life insurance experience or expertise, mass properties, and casualties. (3556)

15.) Premier Financial Services Company located in Purchase, NY seeks an Actuary. This position will be responsible for calculating reserves, assisting in modeling assets and liabilities for various long-term projections, assisting in activity based expense determination and analysis.

Qualifications:ASA preferred, but some actuarial exams and experience is acceptable3-5 years of experience as an actuary in the pension fieldExcellent financial analysis skillsAdvanced PC skills especially spreadsheet applicationsKnowledge of Tillinghast actuarial software as well as an understanding of Crystal and Access is a plusAdvanced ability to create/assess business models (3539)16.) Global Investment Bank is seeking an experienced, senior level Research Analyst to join its team in identifying, analyzing, and monitoring alternative investment vehicles (hedge funds and commodity trading advisers) for its clients.

Responsibilities:Due diligence processes where analysts on the team are given the responsibility to conduct due diligence research on alternative investment vehicles with an ultimate objective of having these investment funds be available for client allocations once they have completed the approval processMonitoring the approved vehicles on an on-going basis to ensure that they remain "best of breed" vehicles

Qualifications:Knowledge of quantitative strategies such as convertible or statistical arbitrageExperience in alternative investmentsExperience in other aspects of research or money management, a plusCertification as a CFA or CAIA desirable attributeAdvanced degree preferred (3491)

17.) Investment Bank with global presence seeks Vice President - Business Development to develop and implement new or enhanced annuity products and market development programs.

Qualifications:7+ years in key accounts, business development, marketing or financial analysis positions in the insurance industryFinancial services and life insurance experience, pleaseThorough understanding of the new generation life insurance productsExperience in evaluating market trendsPrior project management experience in developing new products or new marketing programsMBA or advanced courses in financial planning are preferred (3492)

18.) National conglomerate of financial advisory firms seeks a COMPLIANCE OFFICER to implement corporate compliance policies for NY-based firms (Similar positions located in Orlando, FL and Austin, TX). Member firms provide insurance, wealth transfer, corporate and executive benefits, and financial planning and investment advisory. The successful candidate will have a JD, 3+ years of related compliance experience, including experience with insurance products. (3513)



Please send all resume attachments in Word document format. Thank you.

Please visit our website at www.complianceHQ.com for a complete listing of our openings that will enhance your career!

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Pauline Nash
212-293-8920 (phone)
212-293-8925 (fax)
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REQUIREMENTS
Please see job description.