Compliance Officer - Manager (Capital Markets)

One of our highly reputable Alternative Asset Management clients currently seeking to add an AVP to their growing global Compliance Team. Ideal candidate will be working very closely with several Teams including but limited to Legal, Compliance, and Regulatory. This individual will also be responsible for working very closely with various department Heads (Highly Visible role) including but not limited to; CCO, Legal/GC, Director of Finance, COO and CFO.

Essential Functions:

• Oversee new initiatives targeting process improvement, and highlighting potential policies and procedures changes
• Provide timely and accurate advice on compliance matters to all relevant departments and divisions within the organization.
• Manage all inbound KYC requests from firms various counterparties by constructing structure charts, completing FinCEN forms, and redacting various legal documents.
• Review and approve firm’s AML compliance policies and procedures
• Monitor compliance testing and surveillance
• Address questions from operational staff about regulations and training program development as needed for understanding industry regulations and best practices.
• Revise all marketing materials and activities for compliance with regulatory requirements
• Daily monitoring of Trading related guidelines and communicate necessary details to various business units including: Investment Team, Compliance, and Trading Operations
• Review and test personal trading activities for compliance with regulations and the Code of Ethics
• Assist in researching and responding to comments and/or inquiries received from regulators
• Review and test personal trading activities for compliance with regulations and the Code of Ethics
• Develop and implement plans to manage compliance violations effectively while minimizing potential impact.
• Preparing investment related presentations for senior management and firm principals
• Assist with special projects, as requested.

QUALIFICATIONS:

• Bachelor’s degree from an accredited college or university;
• The candidate will have a demonstrated ability to analyze data and be able to present findings to the managerial level personnel.
• Minimum 3 years related professional (Compliance and/or Legal) experience (Asset Management/Hedge Fund/Private Equity/ Fund Administration or similar)
• Intermediate to Advanced Microsoft Excel/PowerPoint skills are required.
• Effective oral and written communication skills and ability to listen effectively.