What are the responsibilities and job description for the Compliance Officer - Investment Management position at Conselium Compliance Search?
Why Join Us :
Privately-held, fast-growing and profitable company – progression opportunities as business grows
Flexible and autonomous working culture with work / life balance
Excellent compensation and benefits package
Responsibilities :
Manage, develop and refine compliance function and processes in conjunction with General Counsel
Preparation of regulatory reports (Section 13 filings, Form ADV, Form PF, etc.) to ensure all regulatory requirements are met
Perform testing of policies and procedures to assess adherence and effectiveness and document the results in coordination with the firm’s compliance consultant
Conduct electronic communication surveillance for compliance risks including MNPI, Code of Ethics obligations and other compliance issues
Maintain the firm’s Restricted List and conduct trade surveillance related thereto and other compliance policies
Review marketing materials (firm presentation, DDQ, investor letters, monthly performance report, etc.) to ensure adequate disclosures and support is maintained
Administer the firm’s Code of Ethics, including the monitoring of all compliance reporting obligations and pre-clearance requests (employee personal trading, etc.)
Update policies and procedures and training materials for regulatory developments, changes in business practices, and recommended improvements
Draft periodic compliance communications to the firm and assist with compliance training
Complete regulatory certifications, external requests for compliance information and other compliance program administrative duties, such as maintenance of all compliance records
Interact with CEO, CIO and COO on various analyses, projects and initiatives
Develop / document processes and procedures, identify enhancements and remedial actions and evolve the role to continuously adopt best practices and reduce risk
Requirements :
Essential Education : Bachelor’s degree
Demonstrable hands-on compliance experience at an SEC-Registered investment business and / or consulting firm or appropriate regulatory body
Strong practical understanding of Investment Advisers Act of 1940
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