Senior Compliance Officer

VP of Compliance (New York, NY): Our client, a rapidly growing asset manager, is seeking a new compliance professional to join their team. This is an opportunity to join a fast-paced organization that is growing rapidly and gain exposure to all areas of the program while interacting with partners and senior management.

Key Points:

• This hire will have endless opportunities to take on new challenges and responsibilities
• Firm prides itself on promoting people from within
• Exposure to senior management and all areas of the compliance program
• The managers for this position are great mentors and leaders
• WFH policy: 4 days in the office and 1 day from home

Responsibilities:

• Review regulatory developments and implement procedures to ensure platform compliance with all applicable rules and regulations
• Assist with drafting policies and procedures and designing new compliance initiatives as compliance environment and business evolves
• Review marketing and investor relations materials
• Prepare for and respond to regulatory inquiries and examinations
• Assist with compliance testing and surveillance
• Prepare regulatory reports and testing documentation
• Assist with regulatory reporting obligations (e.g., ADV, Form PF, AIFMD filings)
• Identify, escalate and manage conflicts of interests across groups, both regionally and globally
• Assist with transactional and counterparty KYC processes
• Prepare and conduct ongoing compliance training for employees and new hires

Qualifications:

• 6 years of relevant experience of broad-based regulatory/compliance experience, preferably with private fund experience
• Bachelor’s Degree; MBA and/or JD [optional]
• Experience reviewing marketing materials is a requirement
• Prior in-house experience at private fund investment adviser preferred
• Previous experience preferably includes policy and procedure drafting and compliance testing