Our client, a successful investment manager with over $5B in AUM, is looking to add a motivated and bright compliance professional to join their team. The candidate of choice will be reporting directly to the Chief Compliance Officer on all related compliance duties.
Key Points
- Firm is doing exceptionally well – steadily growing and offering a stable platform
- Ideal role for someone with an authentic interest in the investment management space to build a career within compliance
- Firm promotes a team-oriented environment
Responsibilities
- Assist in monitoring for compliance with company policies and procedures and SEC regulations
- Maintain the Firm’s compliance calendar in order to prepare for regulatory testing and filings
- Assist in monitoring all communications and employee personal trading
- Work with the team to prepare for regular compliance reviews, exams and certifications
- Assume responsibility for AML and KYC checks
- Provide support to the compliance team with all projects
Qualifications
- Bachelor’s degree and at least 2 years of relevant compliance: experience with alternative credit manager a plus
- Basic knowledge of Investment Advisers Act and other SEC regulations
- High attention to detail, strong organizational skills and the ability to excel in a fast-paced work environment
- Dedicated, pro-active, problem-solving mindset
Compensation: $100k – $130k base; $15k – $25k bonus (compensation will depend on experience)