A little bit about the position:

An international asset management and alternative investments firm seeks a Compliance professional to join their team. The Compliance Associate will be part of a small team and you will have a well rounded, “generalist” role. The position will offer high visibility with senior level management and business professionals, and reports directly to the Chief Compliance Officer.

Job summary

The Compliance Officer is responsible for supporting the compliance function on a global basis across all areas of compliance. The individual must be able to provide compliance guidance that balances regulatory requirements, risk mitigation and business objectives.

Summary of essential job functions

  • Assist with the management of a 206(4)-7 Compliance Program, including assistance with the oversight of the firm’s compliance monitoring and testing program.
  • Interact directly with Investment Professionals and Fund Operations Professionals to facilitate compliance with regulatory and contractual requirements.
  • Facilitate the management of MNPI by maintaining various restricted lists.
  • Assist with management of broker-dealer compliance program pursuant to Securities Exchange Act of 1934 and FINRA requirements.
  • Field ad hoc inquiries from employees on compliance matters and assist with the preparation and presentation of compliance training materials.
  • Track regulatory developments with an ability to identify the impact to business and drive effective solutions; draft periodic notices on compliance issues of interest to functional business areas and draft
    compliance policies and procedures.
  • Assist with the periodic reporting, including the quarterly/annual compliance reports to senior management.
  • Assist with relevant data protection and cyber security intiatives.
  • Prepare and file various SEC and other regulatory filings required for registered investment advisers.
  • Conduct AML and KYC review as part of onboarding of new investors into the firm’s managed funds.
  • Assist with responding to regulatory exams and inquiries.

Minimum requirements

  • Bachelor’s degree.
  • Minimum of 3-5 years’ compliance and regulatory experience with an SEC registered asset management firm, preferably with exposure to private funds.
  • Knowledge of federal securities laws, including, but not limited to, the Investment Advisers Act of 1940, Investment Company Act of 1940, and related regulatory requirements attendant to private fund offerings.
  • Familiarity with FINRA broker-dealer regulatory requirements also a plus.
  • Good organizational and project management skills; ability to work effectively under pressure in a fast-paced environment.
  • Strong individual contributor and problem solver with the ability to work effectively with a team.
  • Well-developed interpersonal skills with an ability to establish credibility and to interact independently with employees throughout the organization and with external advisors.
  • Strong verbal and written communication skills, including the ability to effectively communicate complex technical compliance issues

Please send resume to Jack Kelly at jack@compliancesearch.com

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