Asset Manager

Senior Compliance Associate/Compliance Officer , New York, NY

Senior Compliance Associate/Compliance Officer – Title TBD (New York, NY): Our client, a $15b+ asset manager is seeking a Compliance professional to join their compliance team. This is a true generalist role with the opportunity to work directly with colleagues at all levels, including the investment team, accounting group, business development and investor relations, as well as responsibilities with leadership and oversight committees at the firm.


Key Points: 

·       Firm is growing rapidly – they have tripled in assets since 2013 

·       Position offers exposure to all areas of the compliance program 

·       Person will have the opportunity to get their licenses:  7, 24 and 63


·       Manage Code of Ethics, design and carry out testing and training; policy development; compile and complete regulatory filings 

·       Review marketing materials; conduct valuation of securities; oversee trading and investment management

·       Conduct information security; advise the trading desk on various regulatory topics 


·       4+ years in compliance roles and/or related accounting or legal/paralegal roles; Active Series 7, 63, and 24 required, or must be obtained by the end of 2018  

·       Proactive team player, with the ability to work independently and see projects through to completion; must be confident in handling both daily tasks and complex projects, with strong time management skills and ability to prioritize

·       Solid understanding of fundamental Advisers Act concepts and rules; comfortable exercising judgment, communicating policies and reasons for procedures

·       Strong marketing review experience, preferably as related to private funds and in a FINRA registered firm, as well as cross-border marketing; knowledge of trading concepts

·       Leveraged Loan/Credit experience ideal, but not required; strong written, oral communication and Excel skills

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