Our client, a global Investment Manager based in Baltimore, Maryland, is seeking a Compliance Officer to join their compliance team. The ideal candidate will have 2 -6 years of relevant experience within the Investment Management industry. This individual must have experience reviewing regulatory filings, DDQs and RFPs. This role requires previous experience with SEC policies and procedures, cash transactions, onboarding, and KYC.
Responsibilities include:
Requirements:
Under the direct supervision of the Business Office Manager, the position's chief responsibility is to effectively manage the billing and... ...processes are productive, timely, accurate and lead to positive cash flow. Ensures that appropriate follow up is made on all accounts...
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