Our client, a growing investment manager with over $1B AUM, is seeking a motivated and responsible Compliance Officer to join their team. This position will work with the Chief Compliance Officer and Chief Financial Officer.
Key Points
- Newly created position to own the compliance program of a successful fund that has consistently outperformed their indices
- Opportunity to work in a lean, collaborative firm of under 20 employees in a highly visible role
- Individual will be given the chance to take over the CCO seat in time
Responsibilities
- Revise and maintain the firm’s compliance policies and procedures
- Prepare the firm to be “SEC ready”
- Conduct compliance testing and supervise employee compliance policy training
- Maintain the firm’s compliance software and collaborate with outside compliance consultants
- Remain current on industry trends and adjust the compliance program as needed.
Qualifications
- 5-7 years of relevant regulatory compliance experience ideally out of a fund or compliance consultant
- All-stars with 3-4 years of experience will also be considered
- Experience with compliance software systems is a plus
- Comfortable working in a fast-paced environment, with a keen sense of prioritizing workload and time sensitive projects
- Motivated, self-driven and proactive