Compliance Officer Position Description

A New York-based asset manager (SEC registered investment adviser and CFTC registered CTA/CPO) with $8 billion AUM is seeking an AVP

Assistant Vice President (Compliance) Job Description:

Provide compliance and administrative support to ensure that the firm’s compliance programs are implemented, maintained and enforced in accordance with the applicable rules and regulations including the Investment Adviser Act of 1940.   Conduct various day-to-day compliance activities under the direction of the CCO or a senior compliance officer, including  investment guideline monitoring, trade surveillance, personal trade monitoring, email reviews, marketing material reviews, compliance risk assessment, broker reviews, vendor due diligence, account list maintenance, and AML/OFAC reviews, etc.Assist with corporate secretarial work including coordinating meetings and preparing the minutes of the Compliance Committee and Best Execution Committee.Assist the CCO and a senior compliance officer with updating and filing of Form ADV Parts 1 and 2.  Deliver required documents to clients including Form ADV Part 2A/2B.Assist the CCO and a senior compliance officer with updating and maintaining policies and procedures as appropriate.Assist the CCO and a senior compliance officer with conducting compliance training.Serve as point of contact for other departments, the parent company, service providers, and counterparties.  Monitor new regulatory developments and prepare monthly reports.Prepare and submit various compliance and risk management reports to the committees and the parent company as necessary.Establish and maintain required books and records. Arrange execution and maintain legal agreements.  Assist the CCO and a senior compliance officer in managing internal and external audits, regulatory examinations, and various compliance projects.Provide administrative support to the Compliance team including photocopying, maintaining paper and electronic files, data entry, mailing, and coordinating meetings, etc.    

Qualifications:

Minimum 3 years of relevant legal or compliance experience in the financial industry.Basic knowledge of securities products, investment advisory services and arrangements, and related regulatory requirements.Proficiency in MS Office Word, Excel, and PowerPoint.Attention to detail.  Accurate and timely recordkeeping skills.Strong research, analytical and problem solving skills.  Self-starter. Ability to work in a fast pace environment with minimal supervision and independent follow-up skills.Excellent written and oral communications in a diverse workspace.Organizational and time management skills; ability to prioritize and manage multiple projects.

Company Overview

Mizuho Americas is a leading financial institution comprising several legal entities, which together offer clients corporate and investment banking, financing, securities, treasury services, asset management, research and more. Mizuho’s operations in the Americas connect a broad client base of major corporations, financial institutions and public sector groups to local markets and a vast global network. Mizuho Americas is an integral part of the Japan-based Mizuho Financial Group, Inc. (NYSE: MFG), which is comprised of offices in nearly 40 countries, approximately 60,000 employees, and assets of more than USD 1.8 trillion. Learn more at mizuhoamericas.com.

Asset Managament One USA Inc. offers a competitive total rewards package.

We participate in the E-Verify program.

We maintain a drug-free workplace and perform pre-employment substance abuse testing.

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