Amba Research - Compliance Officer

Compliance Officer (Finra) 3+ years

Job summary:

- This position will be responsible for managing the service delivery of a team supporting the US and EMEA Compliance function of a global asset management firm. The person needs to have excellent communication skills [both written and oral], client relationship management skills, ability to prepare dashboards and reports related to service delivery.

The person will have, inter alia, an in-depth understanding of activities and tasks around:

- Review and approval all kinds of sales and marketing material, fund fact sheet materials, client presentations, RFX submissions et al. These materials need to be examined for compliance with firm policies and procedure as well as compliance with applicable regulations.

- Review of electronic communications to identify breaches of internal policies, or identify potential risk to the Firm and/ or its clients’, in particular that of market abuse risks

- Due diligence of financial entities and summary reports on compliance merits of the entity

- Regulatory filings

- Registrations with FINRA

Experience:

- Graduate degree, 5+ years experience in the securities industry, good capital markets knowledge, and knowledge of investment products and FINRA, SEC, and FSA rules and regulations. Compliance experience preferred

Work Timings - 1.30pm – 10.30pm

Key skills

- Excellent written and verbal communication skills with ability to work under pressure

- Ability to identify issues and good logical, analytical and decision-making skills

- Organized and process oriented

Please mail across your profiles to megham@ambaresearch.com