Our client, an established investment management firm with diverse product offerings and over $75B in AUM, is hiring a Compliance Officer to be part of their Global Risk, Regulatory, and Compliance Department overseeing the NYC office and US compliance program. This is a highly visible role within the organization working closely with business professionals in the NYC office.
Key points:
- Opportunity to join an organization with a long history of steady investment performance spanning various regions, industries, and strategies
- Interaction with a dynamic team of extremely bright compliance professionals from all levels of the firm
- Ability to own, augment, and play a critical role in the firm’s US compliance department
- Firm doesn’t have a formal in-office policy as they have a ton of flexibility; the expectation is that this person will be in the office 3-4 days/week
Responsibilities:
- Support in delivering various compliance training for the firm, overseeing compliance training systems, and completing obligatory regulatory filings, including Form ADV, PF, and lobbyist filings as necessary
- Conduct compliance testing and monitoring, and contribute to the implementation of new regulatory requirements
- Oversee the ComplySci system for personal trading activities, along with other Code of Ethics prior approval and reporting obligations
- Facilitate OFAC/KYC assessments at the Private Fund level and on a transactional basis, and prepare an OFAC Risk Assessment for Senior-level review
Qualifications:
- 5-8 years of related legal and compliance expertise in an investment management/funds division at a law firm or within an investment advisory company; a bachelor’s degree is required
- Expertise with the Investment Advisers Act is necessary
- Exceptional interpersonal, communication, and writing abilities
- Proficiency in working independently, meeting deadlines, and being proactive in embracing new ventures; robust analytical and organizational proficiencies
Compensation: $200-250K base; $250-335K all-in