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Manager - Finance & Reporting :


Our client is a successful, rapidly growing registered investment advisor with a tremendous amount of assets under management. They are currently seeking a talented professional with 4-8 years of accounting and/or finance experience. This individual will assist the Chief Financial Officer/Chief Compliance Officer manage various financial, operational, regulatory and compliance aspects of a registered investment advisor.

The ideal candidate must have demonstrated an in-depth knowledge of the investment management and/or securities brokerage industry, including the operational and regulatory compliance requirements of the Advisors Act of 1940. A working knowledge of the back office function of an investment advisor and/or broker-dealer as well as insurance operations a plus. The primary responsibilities of this position include the following:

·Support the preparation and analysis of internal and external financial reporting for management and clients
·Prepare, review and analyze regulatory financial reporting requirements, including Form ADV, 13D, 13F & 13G;
·Monitoring SEC and client-defined compliance policies and procedures and maintenance of the Advisor’s Compliance Manuals;
·Assist in the coordination of regulatory examinations, including internal and external audits and interface with Portfolio Managers and others to resolve regulatory/compliance issues;
·Assist in the implementation of automated operational systems;
·Support the development and implementation of processes to strengthen internal controls;
·Lead or participate in special projects upon request.


·BS/BA degree in finance or accounting.
·4-8 years of relevant work experience in the investment management or securities brokerage industries. Preference for two or more years in auditing/advisory, internal controls and/or compliance experience at a financial services company.
·Strong proficiency in MS Excel and MS Word a must; MS Access a strong plus. Exposure to Bloomberg and investment accounting applications also a strong plus.
·Strong organizational, decision making and problem solving skills required. Must be able to effectively research, analyze and resolve complex compliance issues having financial consequences.
·Effective communication and interpersonal skills required. Must be able to work effectively with senior management, regulatory agencies and other employees.
·High level of motivation and initiative is required.

Our client is a wholly owned subsidiary of a publicly traded insurance company. They offer a competitive compensation package, a flexible benefits program, 401(k) with Company match and many other attractive benefits.

SALARY: $60,000-$80,000 + 30% Bonus Potential

LOCATION: East of New Haven, CT


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