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Working closely with the firm's Senior Management, Chief Compliance Officer and Legal Counsel in delivering the objectives and meeting the timetable for all regulatory fillings
Ensuring that regulatory reports are filed on accurate and timely manner
Administrating, evaluating and maintaining the firm's investment adviser compliance program
Providing expert advice to employees regarding internal compliance policies and procedures
Assisting with the preparation of CySEC capital adequacy reports, SEC Form ADV, CFTC CPO/CTA quarterly reports as well as any other monthly, quarterly, annually or ad hoc regulatory reporting requirements
Maintaining accurate and complete compliance records
Proactively detecting and resolving any potential compliance issues
Identifying and resolving any potential conflicts of interest, areas of compliance vulnerability and risk
Staying up to date with upcoming changes and new developments in securities laws and regulations
Managing, coordinating and preparing for regulatory audits visits/requests
Performing compliance reviews such as SEC filings, prospectus, supplements and annual/semi-annual fund reports
Analyses the monthly portfolio holding disclosures and investor information from a compliance perspective
Active involvement in operational risk management and finance related activities
The Individual Qualifications and Experience
Bachelor's degree in business, economics, finance, accounting or risk management
ACA/ACCA Qualified Accountant, with experience in a similarly demanding role
CySEC advanced examination certificate will be considered an advantage
Relevant experience in a previous compliance role with a Cyprus or International regulated firm
Understanding of applicable CySEC, NFA and SEC rules and regulations
Prior experience in investor due diligence will be considered an advantage
Computer literate (Microsoft Office Packages and Databases)
Fluent in English
Skills and Attributes
Strong organizational and problem solving skills, attention to detail and willingness to learn
Excellent planning, prioritisation, communication, presentation and interpersonal skills
Proactive with the ability to take initiative and prepare proposals and preparation for management decisions
Highly ethical, trustworthy, reliable, discreet, dynamic, with the ability to work under pressure
If you are interested in applying for this position please send us your CV and cover letter to mailto:firstname.lastname@example.org email@example.com
Internal Number: 4282684
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