Compliance Officer (RIA/Alternative Investments)

One of our Alternative Asset Management clients is currently seeking to add a Compliance Officer (Senior Associate) to their growing Alternative Investments Compliance Team. Ideal candidate will be working very closely with several Teams including but limited to Legal, Risk, Compliance, Investments/Finance, Sales and Regulatory.

Ideal candidate must be comfortable in a generalist capacity responsible for all facets of Compliance/Legal, Regulatory, and ah-hoc compliance reviews related to Firms Investments/ Operations.

Essential Functions:

• Assist Chief Compliance Officer with developing and implementing policies and procedures, systems and controls, training and communications, monitoring activities, and management reporting to prevent, detect and respond to violations of law and company policies
• Collaborate with CCO a wide range of regulatory compliance initiatives, including:
• monitoring activities to minimize exposure to risk and to ensure adherence to policies and procedures;
• Ensure firms' adherence to relevant laws and regulations; including all necessary regulatory reporting on statistical and annual reports.
• Update and and maintain regulatory compliance policies and procedures;
• Monitor and evaluation of potential risks arising from various business activities, regulatory changes, and internal control requirements.
• Oversee new initiatives targeting process improvement, and highlighting potential policies and procedures changes
• Create “Regulatory Early Warnings” regarding new policies to comply with updated laws or regulations.
• Assisting in the implementation and administration of the compliance program, including federal banking regulations and business practices
• Prepare reports as necessary to be presented at Compliance, Risk and Management Committees
• Develop and implement plans to manage crises or compliance violations effectively
• Work with all levels of Asset Management personnel with respect to the appropriate establishment, implementation, and documentation of regulatory processes and controls
• Collaborate with outside counsel to understand and close complex financing and other transactions.
• Conduct drills to measure the effectiveness of established compliance processes and controls and recommend and implement enhancements
• Collaborate with various stakeholders to address regulatory matters
• Advise and train Portfolio Managers, Analysts and Traders on all trading and compliance issues, particularly in connection with potential material non-public information.

QUALIFICATIONS:

• Bachelor’s degree from an accredited college or university;
• 4 years experience in reputable Law Firm/Attorney with Private Investments/Financial Services preferred experience
• JD/LLM or equivalent preferred
• Sound knowledge and understanding of relevant US regulatory requirements
• The candidate will have a demonstrated ability to analyze data and be able to present findings to the managerial level personnel.
• Ability to coach and develop individuals
• Minimum 8 years related professional (Compliance and/or Legal) experience (Asset Management/Hedge Fund/Private Equity/ Fund Administration or similar)
• Prior experience with RIAs strongly preferred
• Intermediate to Advanced Microsoft Excel/PowerPoint skills are required.
• Effective oral and written communication skills and ability to listen effectively.