• Compliance Attorney Asset Management 3+ years

    Company: Shulman Fleming & Partners

    Location: New York, NY

    Date Posted: February 10, 2014

    OVERVIEWThe position requires the capability of handling the following:all aspects of the Corporate Compliance Program, including policies related to anti-bribery, gifts and entertainment, privacy, Code of Ethics and building and delivering tailored training modules;active professional engagement with business units to:(i) address compliance issues; and (ii) maintain and continuously update Compliance Risk Framework;Compliance risk assessments and drafting of policies, procedures, and training programs review of marketing and promotional materials. * Extensive knowledge of the 1940 Act EXPERIENCE & SKILLS Accomplished with drafting of policies and procedures and conducting investigations all of which require in depth knowledge of key financial services regulations and the elements of a...

    from ZipRecruiter