Opportunities

 

Credit focused, Asset Manager

Compliance Associate, Connecticut or UK

Compliance Associate (Connecticut or UK): Our client a credit-focused asset manager is looking to bring on an experience and flexible compliance professional to join their growing team. This new hire will be supporting the firm’s global legal and compliance team while working directly with both the US and UK General Counsel and Chief Compliance Officers. 
 

Key Points:

  • Opportunity for this individual to learn and train under knowledgeable mentors and gain access to all aspects of a firm’s legal and compliance program 
  • Ideally this new hire will work toward becoming the Head of Compliance for the organization 
  • GC/CCO will provide guidance/mentorship while also encouraging autonomy and ownership over the compliance program  

Responsibilities:

  • Assist with day to day compliance functions, supporting both US and UK GCs/CCOs  – depending on this individuals experience, this will include:
    • Marketing material review, and investor reporting review
    • Compliance policies and procedures breach log
    • PA trade requests; Public meeting register/analysis
    • New and ongoing compliance trainings
    • Email reviews; expert network approvals
    • Gifts & Entertainment requests and monitoring
    • Quarterly attestations; Annual policy review
    • Compliance manual review; SEC annual review
    • Preparation of annual compliance reports to management company boards
    • Maintain world-check; SMCR certifications and annual background check refresh
    • US marketing/lobbying registrations and filings; Canadian filings
  • Provide oversight for the firm’s web-based compliance portal, monitor employee attestations and conflicts of interest, and pre-clearance and, monitor personal trading, gifts and entertainment, and political contributions
  • Provide oversight and management of outsource compliance consultants
  • AML/KYC review on new relationships (LPs, trading counterparties and service providers)
  • Assist with the onboarding of new hires and compliance trainings
  • Maintain the firm’s compliance calendar, assist with preparing and monitoring various regulatory filings and complete KYC and basic information requests from third parties
  • Provide other ad hoc compliance support as needed, and liaise with various groups within the firm (including Finance and Marketing/Investor Relations teams)

Qualifications:

  • At least 4 years of relevant experience working in a paralegal or compliance role within the investment management industry; bachelors degree required with an excellent academic record
  • Superior written and proof-reading skills with proven organizational and time management skills; this is a global role – this individual should be confident and comfortable communicating with all levels within the firm working across multiple time zones and jurisdictions (US and UK)
  • Integrity and character are crucial to this hire as the successful candidate will be processing personal data and other highly confidential information; must be a true team player, comfortable and successful at operating

Job Reference #1702

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