Job Description

Compliance Officer
Job Number: 19-11328
 
Help drive change! Eclaro is looking for a Compliance Officer for our client in New York, NY
 
Eclaro’s client is a leading global bank stimulating change and innovation in the industry by offering top-notch financial products and services for a wide-range of clients worldwide. If you’re up to the challenge, then take a chance at this rewarding opportunity!
 
Responsibilities:
  • Complete review and provide approval of Client communications material for consistency with internal firm policies and any applicable regulatory standards with a specific focus on Alternatives and/or other Institutional Products (SMAs, Private Placements, etc) Provide support with reporting, record keeping, regulatory filings and work flow maintenance
  • Review and provide compliance guidance about the product marketing and training materials (including separately managed accounts, private equity funds, mutual funds, ETFs, retirement services, etc.) produced by the Client business channels
  • Subject matter expert regarding marketing and communications related regulatory guidelines (including SEC, GIPS, Client, etc.)
  • Assist with developing, revising and implementing policies and procedures regarding advertising review activities and regulatory developments. Complete oversight of business units' compliance with marketing materials policies
  • Monitoring all submissions of material to ensure the quality of the submissions and balance work assignments of those materials to the overall team
  • Special projects, maintain team updates for quarterly compliance report, maintain team review statistics, CRS (Compliance Review system) functionality and enhancement issues
 
Required Qualifications:
  • 5-7 years experience with marketing reviews and advertising material with a special focus on Institutional and Alternatives products
  • Experience with and ability to handle a fast paced and demanding work environment is very important
  • Ability to work independently and as part of a team
  • Interpersonal skills to interface with various business units
  • Strong analytical skills
  • Strong attention to detail
  • Strong project management skills
  • Ability to communicate issues to senior management in an effective and succinct manner
  • High proficiency in written and oral communication skills
  • Strong practical experience using of Microsoft Word, Excel, PowerPoint and SharePoint
  • Series 7 and 24
  • Bachelors degree
 
If hired, you will enjoy the following Eclaro Benefits:
  • 401k Retirement Savings Plan administered by Merrill Lynch
  • Commuter Check Pretax Commuter Benefits
  • Eligibility to purchase Medical, Dental & Vision Insurance through Eclaro
 
If interested, you may contact:
Elland Bondoc
elland.bondoc@eclaro.com
2012839624
Elland Bondoc | LinkedIn
 
Equal Opportunity Employer:
Eclaro values diversity and does not discriminate based on Race, Color, Religion, Sex, Sexual Orientation, Gender Identity, National Origin, Age, Genetic Information, Disability, Protected Veteran Status, or any other legally protected group status.
 

Application Instructions

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