Thursday, September 22, 2011

Structured Products Compliance Officer - JOB OPENING in Asset Backed Finance (ABF) Dept of Major Investment Bank

Title: Structured Products Compliance - This position is part of the Asset Backed Finance (ABF) Department of a Major Investment Bank whose duties include: 1) Assist with developing, implementing and monitoring a risk-based compliance program to assure compliance with regulatory requirements and firm policies and procedures; 2) Participate in industry calls to understand and develop policies and procedures for proposed regulations impacting the ABF LOBs. Current focus will be on implementing regulations from Dodd-Frank, Volker Rule and amendments to Reg AB; 3)Become well versed in the products offered by ABF, the inherent risks of such products and the policies, procedures and controls surrounding them. Update and enhance such policies, procedures and controls to meet the changing needs of the businesses; 4) Prepare and present training materials to meet regulatory and firm requirements; 5) Assist in planning and preparation for exams and audits; prepare and gather documents to respond to regulatory inquiries; 6) Review to determine if employees are appropriately licensed; 7) Review marketing materials; review and documentation of MCRs; 8) Work with the deal teams to review and analyze required transaction documentation including, Structured Products Transaction Review Template, Compliance Certification, 23A Capital request forms; Provide support and surveillance to the ABF Syndicate Desk; 9) Liaise with Corporate Compliance to comply with required standards; 10) Participate on and potentially manage special projects; 11) Liaise with various support partners to provide advice and guidance to the business lines; 12) Assume full compliance responsibilities for specific areas/desks within ABF. Required and Desired Skills & Experience Understanding of the business lines and organizational structures noted above to facilitate interaction with investment bankers and traders; ability to develop a cross-functional knowledge of compliance responsibilities to gain a deep understanding of the regulatory framework, as well as specific internal and industry requirements. Bachelors Degree Required. For consideration by the Investment Bank Hiring Manager, please e-mail yiur resume and brief cover letter to: Website has more information and ways to connect: You call call 973-826-0537 first or email and ask for a call.

Tuesday, September 6, 2011

Mutual Fund Attorney - Job Opening: Up to $150K

Title: Mutual Fund Attorney
Up to $150,000 Package Company: Investment Management - Mutual Fund Company (in Washington D.C. area)
Type: Full-time, Permanent

Position Summary:

Must have S.E.C. Registration experience preferably three to seven years post J.D. with 1940-Act experience in current position, or in past.

Position will work with Legal Department on legal support matters for affiliated entities, including mutual funds advised by the Company and future investment companies organized as affiliated fund companies. The focus of the role will be to support 1940 Act Fund activities and will be largely responsible for owning the registration process, and other legal processes as assigned.

Required Education and Experience
Experience required to fill this position should include familiarity with Mutual Funds and Mutual Fund regulation. Prefer candidates with the following specific requirements:
Must have current and recent experience over the last 3+ years working within the mutual fund/financial services industry
Up to 7+ years of Law Firm or in-house Paralegal experience
Knowledge and experience with Investment Company Act of 1940 and Securities Act of 1933 is required
Paralegal certification a plus
Knowledge of Mutual Fund Operations

Responsibilities include:

1. Drafting, reviewing and updating of regulatory materials, including registration statements and exemptive applications.
2. Handle aspects of registration statement process, including process enhancement and coordinating the printing of prospectuses and supplements.
3. Maintain master Legal Department calendar, including regulatory filings, board meetings and other non-routine projects.
4. Responsible for Legal Department document management and electronic files of regulatory materials.
5. Develop and maintain electronic reference library.
6. Oversight with respect to board meetings and the preparation of board materials including developing and maintaining pre- and post meeting processes.
7. Maintain and enhance project lists with respect to third party service providers to the Affiliated Funds.
8. Project management and manage special projects.
9. Draft initial registration statements for new funds
10. Manage contract authorization and negotiation process
11. Manage process related to contract terms and commitments
12. Maintain due diligence records for Sarbanes Oxley Process
13. Maintain legislative initiatives and update manuals
14. Update registration statement filing process (Maintain comment file and maintain binder of SEC response letters)
15. Document 497 filing process
16. Maintain master fund list in coordination with BISYS Legal Admin
17. Prepare and maintain Business Summary for Board meeting
18. Oversee authorized participant ETF handbook updates and dissemination
19. Oversee ISDA Master Agreement process and related documentation
20. Legal accounts payable administration
21. Other duties as assigned

Apply by Email with Resume and Cover Letter:

Monday, September 5, 2011

Recommended Activities for September 5 Give Labor Day

What can YOU do on 'Give' Labor Day? Six recommended activities for the September 5 Give Labor Day are:
1. Make a referral or introduction
2. Critique a resume
3. Rehearse a mock interview
4. Share relevant job openings
5. Leverage Facebook or LinkedIn connections
6. Help a friend write a cover letter
Please read about it here

Questions may be directed to: or 973-826-0537.

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