Compensation: $150,000 – $200,000 + bonus
Location: New York City
Job Overview:
As the Senior Compliance Officer you will play a critical part in managing and overseeing compliance and regulatory aspects of the firm's Public Vehicle and Registered Investment Company platform.
Responsibilities:
As a Senior Compliance Officer, your responsibilities will include:
- Co-managing the compliance and regulatory program for the 40 Act Platform, including engagement in new product development, global distribution partner due diligence, and training
- Managing the co-investment transaction framework, ensuring compliance with regulations, and maintaining documentation and controls
- Overseeing governance and recurring board management, including fund and compliance reporting
- Collaborating with internal teams such as legal, business, audit, finance, and operations, as well as establishing relationships with external business partners
- Ensuring compliance with U.S. federal securities laws, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, and the Securities Act of 1933
- Conducting due diligence on service providers and advisor investment guideline reporting
- Resolving compliance-related issues and providing guidance to senior management and the board on compliance matters
- Developing and enhancing internal control structures and compliance standards
- Managing regulatory filings and maintaining compliance with board and regulatory governance requirements
- Keeping abreast of regulatory changes related to the 40 Act and assisting in exam preparedness efforts
Qualifications:
To be successful in this role, you should possess the following qualifications:
- Minimum of 15 years of experience in a major law firm, legal, or compliance department of a leading financial services organization
- Strong understanding of U.S. federal securities laws, asset management, and U.S. registered funds
- Experience in Investment Company compliance and familiarity with regulatory issues
- Ability to make pragmatic decisions and recommendations to stakeholders
- Exceptional interpersonal and communication skills, with the ability to collaborate effectively with internal and external parties
- Proficiency in Microsoft Excel, PowerPoint, and data analytics tools
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Application Note: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, we will keep your resume on file for future financial analyst positions and may contact you for further discussion.
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