Compliance Advisor

 

Description:

Key Responsibilities and Duties

  • Review and execute day‐to‐day compliance program activities (e.g., investor due diligence questionnaires, certifications and other similar types of requests, regulatory filings and disclosures, monitoring, training, registrations, third‐party service provider due diligence reviews, among other core compliance program activities), as applicable.
  • Prepare and Partner with internal departments to prepare and submit Gresham’s regulatory filings and disclosures (i.e., Form ADV, Form PF, Form Ds, Blue Sky filings, NFA Bylaw 1101 etc.), as appropriate.
  • Report and maintain ongoing Compliance metrics related to portfolio management and trading.
  • Develop, regularly review, and maintain Gresham Compliance policies and procedures.
  • Assist with regulatory inquiries, examinations and internal and external audits and ensure the timely resolution of applicable required matters, as necessary.
  • Provide strong hands‐on support and execution with respect to ad‐hoc Compliance projects and ongoing regulatory changes or developments, as needed.
  • Stay abreast of ongoing regulatory developments and/or material regulatory changes in applicable law and regulations, as appropriate.

Educational Requirements

  • University (Degree) Preferred

Work Experience

  • 2+ Years Required; 3+ Years Preferred

Physical Requirements

  • Physical Requirements: Sedentary Work

Organization TIAA
Industry Management Jobs
Occupational Category Compliance Advisor
Job Location New York,USA
Shift Type Morning
Job Type Full Time
Gender No Preference
Career Level Intermediate
Salary 62300 - 89000 | $  / Yearly
Experience 2 Years
Posted at 2023-08-09 5:08 pm
Expires on 2024-12-01