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Guggenheim Partners
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Compliance Officer
Apply
$81k-113k (estimate)
Full Time 3 Days Ago
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SF Staffing Solutions is Hiring a Compliance Officer Near New York, NY

Seeking a candidate who will help conduct reviews of marketing materials to ensure conformance with US regulatory requirements as well as firm policies and procedures. The individual will work closely with members of the GSAM distribution, product, and marketing teams. He/she will also interact with other control and support areas (i.e., Controllers, Legal, Tax, etc).
Skills & Requirements

Skills:
  • Law firm associate with at least four years of experience
  • Familiarity with SEC and FINRA rules on communications with the public and general marketing
  • Must have strong interpersonal, communication, written and presentation skills as well as the ability to handle multiple priorities
  • Must be a self-starter and able to work independently
  • Familiarity with the asset management business and industry preferred
Education:

Must have a bachelor's degree.

Job Summary

JOB TYPE

Full Time

SALARY

$81k-113k (estimate)

POST DATE

06/27/2024

EXPIRATION DATE

07/12/2024

WEBSITE

sfstaffingsolutions.com

HEADQUARTERS

Basking Ridge, NJ

SIZE

<25

INDUSTRY

Business Services

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SF Staffing Solutions
Full Time
$34k-42k (estimate)
3 Months Ago

The following is the career advancement route for Compliance Officer positions, which can be used as a reference in future career path planning. As a Compliance Officer, it can be promoted into senior positions as a Compliance Specialist IV that are expected to handle more key tasks, people in this role will get a higher salary paid than an ordinary Compliance Officer. You can explore the career advancement for a Compliance Officer below and select your interested title to get hiring information.

AXA Investment Managers
Full Time
$95k-132k (estimate)
1 Week Ago