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Compliance Specialist

Company: Toroso Investments LLC
Location: New York
Posted on: February 25, 2021

Job Description:

Compliance ProfessionalFull-time PositionPosition Description:--Toroso Asset Management ("Toroso") is looking for a full-time, highly motivated compliance professional with the Investment Advisers Act of 1940.--The position will report directly to the Chief Compliance Officer (CCO).--The compliance professional must be able to work in a fast-paced environment and work well with our team. Responsibilities: * Coordinate and review due diligence responses and 15C responses* Manage compliance calendar* Supporting CCO and compliance team by facilitating various duties* Work with external compliance consultants* Create and maintain marketing log and fund marketing inventory* Document and maintain all required attestations in the ComplySci system* Manage and update all websites to remain compliant (performance numbers/documents)* Coordinate and provide support for cybersecurity and penetration testing by working with the Toroso technology team* Coordinate and provide support for the business continuity program and testing* Lead monthly compliance review meetings* Provide administrative support to CCO in implementing policies and proceduresQualifications: * Previous experience with an ETF registered investment advisor or financial firm preferred* Bachelor's degree expected, master's degree preferred* Ability to execute on multiple projects at once and meet Firm's deadlines* A self-starter and highly motivated and able to work independently to accomplish tasks* Excellent verbal and written communication skills* Great interpersonal and team skills* Be enthusiastic, motivated to learn, responsible and matureTo schedule an interview please send your resume to:--Dan Carlson, dcarlson@torosoinv.com

Keywords: Toroso Investments LLC, New York , Compliance Specialist, Other , New York, New York

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