Senior Compliance Associate

New York, NY

Job Reference #1779

Our client, a successful investment advisor with over 2b in capital, is seeking a motivated Compliance professional to join their team growing team. This position will report to the General Counsel/CCO and assist across all areas of the developing program.

Key Points

  • Super high profile launch – they have already raised over 2b in capital just in the last 12 months
  • Firm invests in both public and private markets
  • This is the first fully dedicated compliance hire under the GC/CCO, offering exposure to all areas of the business
  • They want this person to eventually (1-3 years) take over as CCO
  • Firm has a “think outside the box” mentality and promotes an entrepreneurial mindset
  • Work from home policy: 4 days in the office and 1 day from home
  • Excellent compensation and benefits   

Responsibilities

  • Assist in development and implementation of all compliance policies and procedures
  • Provide support with annual regulatory examinations, testing and reporting
  • Manage employee compliance training
  • Review marketing materials and other firm communications
  • Maintain relationships with outside vendors and ensure compliance with Firm’s policies and procedures
  • Support GC and CCO with trade related compliance matters
  • Serve as an internal resource for employees and update internal policies, procedures and other information as needed

Qualifications

  • Bachelor’s degree with 4+ years of relevant compliance experience; J.D. a plus
  • If the person is a J.D. they can get involved in legal work – vendor agreements, NDAs, employment matters and due diligence
  • Direct experience with U.S and international regulators
  • Strong knowledge and understanding of the Investment Advisors Act of 1940, Investment Company Act and Securities Act
  • Ability and confidence to proactively catch and manage potential compliance issues
  • The ability and confidence to communicate effectively and with all levels of management
  • Ability to work independently as well as part of a team in a fast paced, demanding environment