Compliance Officer - Jemstone Associates (New York, NY)

Job Function: To assist the Chief Compliance Officer in executing the Compliance program of an investment advisor registered with the Securities and Exchange Commission (" SEC") and a Commodity Trading Advisor and Commodity Pool Operator registered with the Commodity Futures Trading Commission ("CFTC") and a member of the National Futures Association ("NFA"). Duties: Devising and conducting periodic and forensic testing of the firm's policies and procedures and issuing reports of findings and recommendations; Ongoing monitoring of the firm's activities to confirm consistency with the firm's regulatory requirements and the firm's policies and procedures; Providing revisions to Compliance policies and procedures and maintenance of the firm's Compliance Policies and Procedures Manual; Reviewing the firm's marketing materials and email communications; Responding to clients due diligence requests; Receiving, distributing, organizing and maintaining required documents and records ( e.g., personal brokerage statements of "access persons"; Code of Ethics attestations; Advertising Approval forms; etc); Preparing and submitting regulatory filings and reports to the SEC, CFTC and NFA as required; Assisting in the conduct of two annual compliance reviews: the NFA Self - Examination Checklist and the SEC- Mandated Review; Performing tasks and completing projects assigned by the CCO. Experience; Minimum 5 years as a Compliance Officer of a SEC registered investment advisor; must have strong Investment Advisors Act of 1940 experience. Required skills/Attributes: Proficiency in Excel and Word; well organized and detail oriented; excellent written and oral communications skills. Â

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