Investment Advisor

Senior Compliance Officer, New York, NY

Senior Compliance Officer (New York, NY)Our client, an investment advisory firm with north of $15 billion in AUM, is excited to bring on an experienced compliance professional to join their team. This new hire will report directly to the Chief Compliance Officer and will work closely with the General Counsel. 


Key Points: 

·       Opportunity to work as a true #2 compliance person on a legal and compliance team of 10 

·       Firm prides itself on deep research and understanding of their investment space and on staying at the forefront of technology 

·       CCO is ready and excited to hand off strategic, high level work and to grow this new hire’s career path


·       Perform reviews of compliance procedures; assist in constructing compliance reports for review, drafting memos and conducting audits 

·       Assist with regulatory reporting obligations such as: ADV, 13Fs, 13Gs, Form PF; assist in overseeing the compliance program for hedge fund advisor

·       Assist in maintaining the compliance manual, compliance calendar and organize books and records; assist with drafting policies and procedures and designing new compliance initiatives as law

·      Monitor trading activity and effectively communicate with the firm’strading desk; review and maintain the firm’s Restricted List


·        7+ years of compliance experience within a registered investment advisor, broker dealer, regulator or compliance consulting firm; bachelors degree required

·       High level of professionalism and ability to positively represent the firm, both internally and externally; knowledge of the US Investment Advisors Act of 1940

·       Excellent written and verbal communication skills with the ability to present information effectively; ability to work independently and multi-task 

·       Proficiency in Microsoft Office applications (Outlook, Excel, PowerPoint, Word); exceptional work ethic with the ability to take pride in his or her work

Job Reference #1361

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