Overview

Reporting to the Head of the Investment Advisory Compliance Group, this position will be primarily responsible for administering the compliance risk monitoring program, which includes reviewing policies and procedures, conducting forensic testing and monitoring of controls, and implementing action plans. 

Additional responsibilities supporting the general compliance function include tracking regulatory updates and implementing changes to comply with new and amended regulation, facilitating the independent annual compliance review and other internal and external audits, reviewing business practices and processes for potential compliance issues and providing general compliance oversight and guidance to the business. 

This is an opportunity for a knowledgeable, self-starter to work closely with the business and compliance colleagues to effectively implement and monitor the firm’s compliance program.                                                       

Key Responsibilities

Functions include but are not limited to the following:

  • Support the Investment Advisory Compliance function to design and implement an effective compliance program for the money management firm to prevent, detect and mitigate violations of applicable law, regulation, and company policy
  • Administer the Compliance Risk Monitoring Program, including testing and oversight of policies and recommend enhancements to business processes and internal controls
  • Draft and implement procedures for compliance monitoring activities
  • Maintain the Compliance Regulatory Development tracker which tracks proposed and new regulations, risk alerts and regulatory guidance
  • Serve as compliance point person for various compliance programs and initiatives
  • Maintain the firm’s institutional conflicts of interest inventory including documenting firm-wide conflicts
  • Coordinate the annual third party compliance review and other internal and external audits including document production and action plan tracking
  • Maintain and monitor Social Media Guidelines
  • Support the process of onboarding new clients, provide guidance as to compliance implications associated with investment management agreements and sub documents for private funds
  • Integrate industry benchmarking and best practices through ongoing research, education and industry affiliations

Requirements

  • Bachelor’s degree required, MBA or Juris Doctor Preferred
  • 7-10 years compliance experience working with an investment management firm
  • FINRA Licenses (Series 7 & 24) a plus but not required
  • Strong knowledge of the Investment Advisor’s Act of 1940 and other relevant securities laws

Please email resumes to Jack Kelly at Jack@ComplianceSearch.com

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