Our client, a successful, global investment manager with over $40B in assets, is seeking a highly motivated Compliance Officer to join their team in a highly visible and unique position. This new hire will help mentor and train a staff of four while working closely with three senior compliance professionals across the entire program.
Key Points
- Firm is established, actively growing, expanding their investment strategies and deploying capital
- Firm emphasizes a strong teamwork environment with tons of collaboration between departments and within the compliance team
- Opportunity to sit between senior and junior compliance professionals playing an integral part of the team
Responsibilities
- Remain current on industry trends and adjust the compliance program as needed
- Revise and maintain the firm’s compliance policies and procedures
- Ready the firm for SEC audit and other regular testing and reporting requirements
- Supervise firm-wide employee compliance training
- Review marketing materials
- Prepare regulatory filings, regulatory reports, and testing documentation
- Contribute to the transactional and counterparty KYC process
Qualifications
- Bachelor’s degree and at least 6 years of relevant compliance experience; MBA or JD optional
- Ability to communicate and work with all levels within the firm
- Comfortable working in a fast-paced environment, with a keen sense of prioritizing workload and time sensitive projects
- Motivated, self-driven and proactive with an entrepreneurial mindset
Compensation: $150-$225K base; up to $350K all-in (dependent on experience)