What are the responsibilities and job description for the Compliance Officer position at G Squared?
About the job
The Compliance Officer's primary role is to assist the Chief Administrative Officer and Chief Compliance Officer and coordinate with the Operations Team in the day-to-day administration and oversight of the Firm’s compliance program, including KYC/AML reviews in connection with investor onboarding, code of ethics monitoring and reporting, administering and monitoring the Firm’s cybersecurity program along with other Firm policies and procedures.
While the nature of the role is continually evolving as the regulatory requirements and risks facing the Firm change, the following duties are generally representative of the nature and level of work assigned and are not necessarily all-inclusive.
Primary Responsibilities
- Conduct KYC/AML reviews of incoming investors, manage and oversee due diligence follow-up requests in coordination with fund counsel and/or fund administrator
- Monitor and review compliance policies and procedures in connection with Investment Advisers Act rules and regulations, including the Firm’s code of ethics and cybersecurity program
- Manage third-party software platforms utilized by the Firm in the administration of its policies and procedures (e.g., KYC/AML, compliance, cybersecurity, and CLM platforms)
- Administer and assist in the development and maintenance of compliance policies and procedures; evaluate regulatory updates for impact on the business, help implement policies and procedures to address relevant changes
- Stay informed of applicable new or amended laws and regulations
- Assist with regulatory examinations, audits, and inquiries
- Lead other compliance projects as requested
Ideal Candidate Profile
- 2-4 years of experience in compliance or risk management with experience in regulated financial institutions and IT/operational controls is required
- Bachelor’s degree is required
- Working knowledge and understanding of KYC requirements, AML laws and regulations, and applicable Federal Securities Laws concerning private funds (e.g., the Investment Advisers Act of 1940, Investment Company Act of 1940, and Securities Act of 1933)
- Understanding of regulatory requirements for registered investment advisers, including operational books and records requirements
- Knowledge of and experience working with alternative asset management and conducting due diligence is preferred. Basic understanding of private fund administration
- Experience auditing and performing risk assessments on compliance-related cross-functional processes
- Understanding of cybersecurity functions and processes and experience in testing of systems is a plus
- Ability to work on assignments independently, using a high level of judgment, and to take initiative in resolving problems
- Detail-oriented, organized, highly proficient individual to work in a fast-paced, deadline-driven environment, and able to solve complex problems in a collaborative manner
- Strong ethical commitment
- Excellent oral and written communication skills
- In office 3 days/week, limited travel may be required
Salary : $100,000 - $120,000