Compliance Officer / General Counsel -- Buy Side Asset Management (Midtown)

Avoid scams and fraud by dealing locally! Beware any deal involving Western Union, Moneygram, wire transfer, cashier check, money order, shipping, escrow, or any promise of transaction protection/certification/guarantee. More infoA New York based institutional asset management firm that is the subsidiary of a major international financial group. It manages the US portions of global investment mandates and several US-only mandates of multi-billions pension fund assets in quantitative equity, investment grade fixed income and other alternative products for institutional investors.

Main Job Functions:

? Responsible for the ongoing development and implementation of company compliance program and for providing advice and support to global affiliates concerning US regulatory matters.
? Develop and implement company policies and monitor the company's operations of investment.
? Draft, publish and update as necessary the company's: Compliance Manual, Code of Ethics, and other policies and procedures. Conduct routine and targeted monitoring and forensic testing to ensure adherence to policies and procedures. Conduct training, issue reports to management as needed and document reviews/results/follow-up.
? Prepare and maintain legal documents (client agreements, corporate documents) in accordance with record-keeping requirements. Perform compliance/legal review of documents, draft memoranda, provide advice/guidance.
? Identifying and resolving issues and partnering with overseas offices on various matters.

Start base salary: 140 -- 160K depending on experience (+ Bonus + Benefits)

Requirements:

? 3-8 years experience as Compliance Officer/Attorney in buy side asset management.
? Thorough understanding of the Investment Advisers Act of 1940 and related laws and regulations.
? Strong presentation and communication skills.
? The ability to work with staff members who speak English as a second language. Fluency in Japanese would be helpful but is not a requirement.
? Start in March 2012

To Apply: Email resume to " fujimoto @ bloomjob.com " (or contact Mr. Fujimoto at 212-512-0575), Bloom Consulting, a New York based executive search firm that is the HR representative of the firm.

Principals only. Recruiters, please don't contact this job poster.Please, no phone calls about this job!Please do not contact job poster about other services, products or commercial interests.

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