SENIOR COMPLIANCE OFFICER

Location: Northern KY

Direct Hire

Would you like the opportunity to join a growing team of driven, highly motivated compliance professionals? Apply now! 

 

What you will be doing:

  • Responsible for the implementation and ongoing oversight of the compliance program required by Rule 206(4)-7 of the Investment Advisers Act of 1940.
  • Conduct risk-assessments and external audits, as well as Portfolio Testing, Email and Correspondence Surveillance, and Advertising and Social Media Reviews, etc.
  • Interface directly with the U.S. Securities Exchange Commission.
  • Work independently and handle multiple projects and clients simultaneously is essential.

What  you will need:

  • Bachelor’s Degree or equivalent
  • 5+years experience in Financial Services
  • Familiarity with the Investment Advisers Act of 1940
  • Strong organizational skills, attention to detail, and the ability to problem solve
  • Ability to handle multiple projects simultaneously
  • Familiarity with Regulatory Filings

 

** CALL AQUARIUS TODAY AND WE WOULD LOVE TO DISCUSS THE DETAILS- 513-247-0750**