REPORTING RELATIONSHIP: Director of Compliance
Specific Responsibilities include:
- Partner with Director of Compliance to maintain and enhance the Compliance Program.
- Become the function manager of the Compliance Department responsible for:
- Forensic testing including; maintaining current testing process and implementing industry best practices for new testing options
- Regulatory filings including but not limited to; 13F, 13H, Form PF, PQRs and Form ADV
- Compliance software management including; quarterly affirmations and employee trade surveillance
- In house training and education program
- Day to day Compliance Program management; implementing new compliance rules, new hire account set up, etc.
- Bachelors’ Degree in relevant field of study, JD a plus
- At least 5 years experience in legal or compliance role; ideally at a registered investment adviser
- Must be a U.S citizen or authorized to work in the U.S on a permanent basis
- Willingness to work market hours
- Knowledge of Investment Advisers Act required
- Knowledge of ‘33 and ‘34 Acts and BD/FINRA regulation a plus
- Must be highly organized, have strong attention to detail and the ability to meet established deadlines
- Ability to be resourceful, work effectively as a team player and be able to clearly communicate with individuals at all levels of the organization
- Be curious about the business of the firm; continually looking for ways to enhance the operational efficiency and effectiveness of the Compliance Program
Parallax offers extremely competitive compensation and benefits, including (not limited to): paid health insurance, all meals during working hours and continuing education opportunities.
Please no calls or recruiters.