What are the responsibilities and job description for the Compliance Manager position at Abacus Group, LLC?
Our client is a music company. They seek a Compliance Manager to join their Manhattan, NY office.
Responsibilities
- Maintain the effectiveness of internal controls policies and procedures
- Ensure all manuals and internal documents are up to date and accurate
- Identify operational risks and recommend ways to mitigate risks
- Work with legal teams to ensure all regulatory filing needs are met
- Verify that marketing materials adhere to SEC, FINRA, and other regulations
- Respond timely and accurately to investor due diligence requests
- Lead the annual compliance audit & review process
- Conduct annual SOC report reviews concerning key third-party consultants
- Liaise with insurance brokers and providers regarding all policy coverage
- Stay abreast of audit and financial reporting standards and trends
Requirements
- Bachelor’s degree required
- 10 years of compliance experience
- 5 years of private equity fund experience
- Familiar with regulatory requirements and industry standards
- Strong analytical and problem-solving skills
- Excellent written and verbal communication skills
- Exceptional attention to detail and accuracy
- Proficient in Microsoft Office Suite
JobID: 47019
Salary : $120,000 - $160,000
