Senior Compliance Officer

Position can sit in NYC or Stamford, CT.

30B SEC RIA seeks a Senior Compliance Officer to join their growing team! Position will report directly to the DCCO and CCO, and also oversee 2 junior team members.

In office schedule is 3 per week.

Pre- and post-trade monitoring portfolio compliance of separate accounts, commingled funds, mutual funds, and UCITS.

• Managing and updating pre- and post-trade compliance rules in the firm’s Order Management System.
• Reviewing and responding to client questionnaires and compliance certification requests.
• Assisting Portfolio Managers and Traders with daily compliance and trade related inquiries.
• Performing ongoing surveillance on allocations, new issues, best execution, and cross trades.
• Assisting with administering the firm’s restricted list, including oversight of private data room access.
• Administering and maintaining internal databases and logs, such as trade error logs.
• Participating in compliance forensic testing (e.g. expert networks, trade related tests including side by side testing, performance dispersion, etc.) of policies and procedures and assisting in the firm’s annual compliance review, mock SEC exams, external audits, and other initiatives.
• Accepting ownership for special projects and exploring opportunities to add value to overall firm objectives.
• Assisting with the onboarding of new brokers, new clients, and trading counterparty relationships.
• Performing diligence on new vendors and brokers.
• Reviewing and responding to inquiries regarding marketing materials / DDQs.
• Assisting with the annual Compliance Review.

The ideal candidate should have 5 plus years of experience with compliance oversight on an OMS, such as Charles River, SS&C Eze, or Bloomberg. Familiarity with the Investment Advisers Act of 1940, Investment Company Act of 1940, ERISA and other US and global regulations applicable to investment advisers is also highly preferred.