Top 694 Finance operations occupations Jobs in Jericho, Ny

AVP, Fund Compliance - Mutual Funds
Ultimus Fund Solutions —Hauppauge, NY
- $75,000 - $100,000 a year
- Full-time
- Writing skills
- Office
- 3 years
Quick Apply
Registered Client Administrative Manager
Steward Partners Global Advisory LLC —New York, NY
- Full-time
- Mid-level
- Office
- Finance
- Health savings account
- Health insurance
Quick Apply
Operations Generalist II
Dr Bank —Darien, CT
- Full-time
- Hybrid work
- Mid-level
- 3 years
- Continuous improvement
- Health savings account
- Health insurance
Quick Apply
10d
Wealth Management: Client Service Associate
Northwestern Mutual —New York, NY
- $80,000 a year
- Full-time
- Hybrid work
- Microsoft Word
- Background check
- 5 years
- Disability insurance
- Health insurance
Quick Apply
3d
Senior Payment Analyst - ACH Processing
Mphasis Limited —Hicksville, NY
- $25 - $30 an hour
- Overtime
- Research
- Mid-level
- High school diploma or GED
- Paid parental leave
- Health savings account
Quick Apply
Senior FX Ops Payment Analyst
Mphasis Limited —Hicksville, NY
- $25 - $30 an hour
- Overtime
- Mid-level
- Office
- Finance
- Paid parental leave
- Health savings account
Quick Apply
Director of Ensemble Supervision
Northwestern Mutual —Melville, NY
- $125,000 - $150,000 a year
- Full-time
- 5 years
- Analysis skills
- Supervising experience
Quick Apply
7d
Associate Fund Compliance Administrator
Ultimus Fund Solutions —Hauppauge, NY
- $47,000 - $57,000 a year
- Full-time
- Mid-level
- Office
- Finance
Quick Apply
Deputy BSA Officer
MJ Boyd Consulting —New York, NY
- $120,000 - $150,000 a year
- Office
- Analysis skills
- Bachelor's degree
Quick Apply
Loan Operations Officer
MJ Boyd Consulting —New York, NY
- $75,000 - $90,000 a year
- 5 years
- Bachelor of Science
- English
Quick Apply
14d
Senior Compliance Analyst
Oscar Gruss and Sons Inc. —New York, NY
- $85,000 - $125,000 a year
- Full-time
- Mid-level
- Office
- 3 years
- Health insurance
- 401(k)
Quick Apply
Clearing Officer
MJ Boyd Consulting —New York, NY
- $65,000 - $85,000 a year
- Management
- Bachelor of Science
- Writing skills
Quick Apply
14d
Associate, Alternatives Distribution and Client Services
Macquarie Group Limited —New York, NY
- $110,000 - $150,000 a year
- Full-time
- 5 years
- Finance
- Bachelor's degree
- Paid parental leave
- Health savings account
AVP Treasury Operations
MJ Boyd Consulting —New York, NY
- $140,000 - $150,000 a year
- Microsoft Access
- 5 years
- Office
Quick Apply
AVP, Risk Testing Lead
Synchrony —Stamford, CT
- $75,000 - $130,000 a year
- 18 years or older
- Sales
- Pass drug screening
- Work from home
12h
Client Service Associate / Wealth Management Operations Specialist
Asset Management Group Inc —Stamford, CT
- $75,000 - $90,000 a year
- Full-time
- Background check
- Mid-level
- Office
- Health savings account
- Health insurance
Quick Apply
Compliance Officer-Deposits and Payment Operations
City National Bank —New York, NY
- $70,000 - $145,000 a year
- 5 years
- Research
- Analysis skills
- Health insurance
- Dental insurance
Quick Apply
13d
Senior Manager, Investment Operations
Cartesian FinOp Partners —Stamford, CT
- $100,000 - $150,000 a year
- 7 years
- Finance
- Bachelor's degree
- Disability insurance
- Health insurance
Corporate & Investment Banking Letter-of-Credit Product Specialist - Analyst
Santander Bank —New York, NY
- $110,000 - $135,000 a year
- Microsoft Excel
- Mid-level
- Microsoft Office
Credit Middle Analyst, Japanese Bilingual
PASONA N A, INC. —New York, NY
- $67,000 - $80,000 a year
- Full-time
- Hybrid work
- Mid-level
- Office
- 3 years
10d

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AVP, Fund Compliance - Mutual Funds

Ultimus Fund Solutions -
Hauppauge, NY

Quick Apply

Job Details

Full-time
$75,000 - $100,000 a year

Qualifications

Securities & Exchange Commission
Employee relationship building
Securities law compliance support experience
Securities law
Financial services
General management
Stakeholder relationship building

Full Job Description

SUMMARY
The AVP, Fund Compliance coordinates daily, monthly, and quarterly compliance workflows, including the implementation, monitoring, and testing of new and existing policies and procedures, as well as the maintenance of regulatory records for Ultimus Fund Solutions (UFS) clients.

KEY ACCOUNTABILITIES
FINANCIAL COMPLIANCE

Monitors fund compliance on a daily and monthly basis with consideration of investment detailed Prospectus, Statement of Additional Information, and Investment Company Act of 1940.
Monitors fund compliance with consideration to the quarterly and annual requirements of the Internal Revenue Code for qualifications as a regulated investment company.
Performs reviews of a subset of quarterly compliance reporting prepared by compliance associates.
Reviews the investment restrictions detailed in Prospectus and Statement of Additional Information to maintain up to date compliance checklists for new fund launches and existing clients.
Codes newly launched funds into the compliance system and performs ongoing testing of existing client funds functionality on compliance system.
Ensures compliance testing programs keep pace with market and regulatory evolution.
Provides advice and training on rules and regulations as it pertains to portfolio compliance under SEC, IRS, and internal regulations to clients and applicable personnel.

REGULATORY REPORTING

Coordinates efforts with the Financial Administration team for the development of regulatory compliance for reporting to clients, regulatory agencies, Board of Directors, and Financial Officers.

MANAGEMENT AND DEVELOPMENT

Assists in the development and maintenance of departmental procedures.

FUND AUDITS

Maintains, updates, and implements audit controls, as necessary.

PERSONNEL MANAGEMENT

Manages associates within department including, but not limited to, hiring, training, and developing associates, delegating work assignments, writing, and conducting performance appraisals, salary recommendations, coaching and counseling, and administering corrective actions.
Conducts one-on-one and team meetings with associates on a regular basis to discuss new procedures, problems, and issues.
Establishes team and individual goals for department.
Fosters performance of associates and the processes used by them; holds the associates accountable for their work.

WORKING RELATIONSHIPS

Acts as a liaison between UFS and external audit firms and regulatory agencies.
Mentors associates through instruction, coaching, providing real-time on-the-job experiences, modeling effective practices, and advising on methods used, as well as cross-training amongst departments.
Contact with Fund Accounting, Financial Administration, Relationship Management, and Legal departments regarding financial compliance activities.
Contact as needed with regulatory agencies and audit firms regarding general information, resolution of issues and inquiries or reporting requirements.

May perform other duties as required and assigned.

EDUCATION AND EXPERIENCE

Bachelor’s degree in business administration, finance, or related field.
7+ years of regulatory compliance experience.
Experience working within the financial services and mutual funds industry.
Experience working with SEC regulators.
3-5 years of management and leadership experience.
Equivalent education and experience will be considered.

KNOWLEDGE

Automated post-trade compliance system coding.
Investment Company Act of 1940.
SEC and IRS regulations.
Microsoft Office Suite.
Adobe Acrobat.

SKILLS AND ABILITIES

Aligns associates with company values and goals.
Plans and delegates the work of others.
Motivates and inspires others.
Assesses the performance of self and associates to make improvements or take corrective action.
Plans and develops systems and procedures to improve operating quality and efficiency of department in accordance with company policies and procedures.
Troubleshoots issues utilizing creative and critical thinking skills.
Multitasking, analytical, and organizational skills.
Initiative-taking, strategic, and meticulous approaches with a strong commitment to quality, efficiency, and effectiveness.
Demonstrates personal integrity, responsibility, and accountability.
Effectively uses resources such as time and information in conjunction with associates.
Participates in solving problems and making decisions.
Presents and expresses ideas and information, written and oral, clearly, and concisely.
Actively listens to others to achieve understanding and supports an open exchange of ideas and information.
Identifies needs, arranges for, and obtains resources to accomplish individual and department goals.
Establishes and develops effective working relationships with associates and clientele during both favorable and unfavorable situations.
Modifies team and individual priorities and deadlines in response to added information, changing conditions, or unexpected obstacles and ensures completion.

Ultimus is an equal opportunity employer and does not discriminate on the basis of the applicant’s or employee’s race, color, religion, national origin, ancestry, gender, sexual orientation, age, disability, veteran or military status, genetic information, citizenship or any other status entitled to protection under federal, state or local anti-discrimination laws. No questions on our employment application are intended to secure information that is to be used for impermissible purposes.

Quick Apply

Refine Your Search

finance operations occupations jobs in jericho, ny

AVP, Fund Compliance - Mutual Funds

Registered Client Administrative Manager

Operations Generalist II

Wealth Management: Client Service Associate

Senior Payment Analyst - ACH Processing

Senior FX Ops Payment Analyst

Director of Ensemble Supervision

Associate Fund Compliance Administrator

Deputy BSA Officer

Loan Operations Officer

Senior Compliance Analyst

Clearing Officer

Associate, Alternatives Distribution and Client Services

AVP Treasury Operations

AVP, Risk Testing Lead

Client Service Associate / Wealth Management Operations Specialist

Compliance Officer-Deposits and Payment Operations

Senior Manager, Investment Operations

Corporate & Investment Banking Letter-of-Credit Product Specialist - Analyst

Credit Middle Analyst, Japanese Bilingual

I want to receive the latest job alert for finance operations occupations in jericho, ny

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