Our client, a $7B+ credit-focused fund based in Connecticut, has an exceptional opportunity to join a successful and growing team in a compliance capacity. The new hire will support the global legal and compliance team and directly report to the GC/CCO.
Key Points:
- Opportunity to work under knowledgeable mentor and learn entirely about a global legal and compliance program
- Fund has recently grown in both assets under management and headcount due to their success and strong reputation in the industry
- Firm promotes the development of their staff through continued educations, formal and informal mentorship, and regular feedback
- GC/CCO will encourage this new hire to work autonomously, take ownership over the compliance program, and also provide a strong learning platform
Responsibilities:
- Assist with day to day compliance functions, supporting both US and UK GCs/CCOs – depending on this individuals experience, this will include:
- Assist with marketing material and investor reporting review; provide ongoing compliance trainings to the team
- Oversee Code of Ethics inclusive of communications reviews, G&E monitoring, personal trading review, and political contributions
- Review and approve expert network requests; maintain the firm’s compliance calendar
- Provide annual review of the compliance manual and perform continued compliance testing
- Prepare various regulatory filings and maintain the firm’s compliance calendar
- Provide oversight of their firm’s outsources compliance consultants
- Work on additional compliance projects as needed and liaise with other parties in the fund on unique initiatives
Qualifications:
- 4-8 years of regulatory compliance experience working in the investment management industry
- Bachelors degree required
- Excellent writing skills, ability to proof-read and strong time management skills are required
- Ability to communicate with various levels of individuals across jurisdictions
- High level of integrity, strong work ethic, and high level of discretion is necessary
Compensation: $150-200K base; $172-250K all-in