Compliance Officer

New York, NY

Job Reference #1802

Our client, a growing asset manager is seeking a Compliance Officer to be part of the Global team, supporting two US regulated entities, reporting directly to the Chief Compliance Officer. 

Key Points

  • Firm has been around for over 20 years and currently manages more than $40B in AUM with private equity, venture capital, and real estate investments
  • This hire will work across all areas of the US program, but will have the opportunity to gain international exposure if they choose 
  • Firm is focused on culture – the focus is on a flat organization that values personal and professional development, while respecting life outside of work
  • Work from home policy:  no official policy has been set, but most people are in the office 2 or 3 days a week and an average day is 9am – 5:30/6pm

Responsibilities

  • Assist with conducting various compliance training for the Firm and managing compliance training systems
  • Assist with completing all required regulatory filings, such as Form ADV, PF, and lobbyist filings where required. 
  • Perform compliance testing and monitoring
  • Manage ComplySci system for personal trading activity as well as other Code of Ethics Prior approval and reporting requirements 
  • Assist with the preparation and administration of the compliance manual and code of ethics; implement appropriate changes to the compliance program in response to alterations in the business/new regulatory requirements
  • Support with implementation of new regulatory requirements
  • Assist in OFAC/KYC reviews at Private Fund level as well as on a transactional basis and prepare an OFAC Risk Assessment for Senior level review.

Qualifications

  • 5-10 years of relevant legal and compliance experience within an investment management/funds group at a law firm or in-house out of an investment advisory firm or compliance consulting firm.  Bachelors degree is required 
  • Knowledge of Investment Advisers Act a plus; excellent interpersonal, communication and writing skills 
  • Ability to work autonomously, meet deadlines, and be proactive in taking on new initiatives; strong analytical and organizational skills