What are the responsibilities and job description for the Senior Compliance Officer position at Fernridge Group?
Senior Compliance Officer : Our client, a dynamic alternative asset manager with over $10B AUM, is looking for a proactive compliance officer to enhance their team. This position offers the chance to collaborate closely with the General Counsel / Chief Compliance Officer on compliance matters both domestically and internationally.
Why Join Us :
Be part of a growing firm in a newly established role, working alongside an experienced GC / CCO as the first dedicated compliance resource.
Our firm promotes a culture of open communication and values collaborative and intelligent team members.
This role is highly visible and interactive, allowing for engagement across various teams and levels within the organization.
Enjoy a hybrid work model (4 days in-office) along with a strong work / life balance, competitive benefits, and compensation.
Your Responsibilities Will Include :
Conducting thorough compliance reviews, including personal securities transactions, investment restrictions, vendor management, social media, and political contributions.
Designing and implementing compliance policies, procedures, controls, and testing protocols.
Preparing essential regulatory filings such as ADV, Form 13F, and Form PF.
Reviewing and editing all marketing materials and presentations to ensure compliance.
Assisting Investor Relations with compliance-related client and limited partner inquiries.
Managing special projects and other tasks assigned by the CCO and Management.
Overseeing gift and entertainment reviews to ensure compliance with global policies and regulations.
Monitoring employee trading activities to prevent any trading on material non-public information, while liaising with employees regarding personal trades.
Qualifications :
A minimum of 5 years of experience in alternative asset compliance.
A Bachelor’s Degree with a strong academic background; a JD is a plus but not mandatory.
Demonstrated self-motivation and excellent interpersonal skills.
Strong attention to detail.
Experience in mentoring or collaborating with junior team members.
Keep a pulse on the job market with advanced job matching technology.
If your compensation planning software is too rigid to deploy winning incentive strategies, it’s time to find an adaptable solution.
Compensation Planning
Enhance your organization's compensation strategy with salary data sets that HR and team managers can use to pay your staff right.
Surveys & Data Sets
What is the career path for a Senior Compliance Officer?
Sign up to receive alerts about other jobs on the Senior Compliance Officer career path by checking the boxes next to the positions that interest you.
