Compliance Officer
Core
Provide second-line defense oversight and guidance on the firm's compliance with applicable rules, regulations, and internal policies for a global alternative investment management firm.
Role type
Compliance Officer (Investment Management)
Builds
Compliance systems, controls, and regulatory reporting for a $227.6B asset manager.
Domain
Financial Services / Alternative Investments / Regulatory Compliance
Deliverable
client delivery
Required skills
Investment Advisers Act of 1940, ERISA, NFA/CFTC requirements, regulatory analysis, policy drafting, compliance monitoring program execution, regulatory filing preparation
Preferred skills
Experience at a hedge fund or large asset management firm
Technologies
Regulatory filing systems (Form ADV)
Responsibilities
Perform compliance functions under the direction of the Head of Compliance, assist with new product launches and client on-boarding, conduct regulatory analysis of new and existing rules, assist with the development and delivery of compliance training, assist with the development and execution of the Compliance Monitoring Program, assist in the preparation of regulatory filings and responses to regulatory questions, work on ad hoc projects
Seniority
Mid-Senior, hands-on IC