Senior Associate, Compliance - Adviser Program Oversight
Core
Support and enhance the firm's U.S. investment adviser compliance program by ensuring regulatory alignment, strengthening governance frameworks, and embedding a culture of integrity.
Role type
Senior Associate, Compliance (Investment Adviser Program Oversight)
Builds
Global adviser compliance program for separate accounts, registered funds, and alternatives/private funds
Domain
Financial Services / Investment Management / Regulatory Compliance
Required skills
U.S. regulatory knowledge (Investment Advisers Act of 1940), policy development, risk assessment, compliance testing, conflict-of-interest management, process improvement, written communication, analytical problem solving
Preferred skills
Experience in sophisticated investment management environments, familiarity with fixed income/alternatives/derivatives/commodities/equities, technology/automation leverage
Technologies
None explicitly stated
Responsibilities
Contribute to policies, procedures, training, and monitoring activities; Partner globally to harmonize approaches and ensure consistent regulatory application; Conduct risk assessments, build risk matrices, develop test plans, and execute control testing; Draft and review compliance policies and procedures; Prepare internal and external compliance communications; Identify and implement process improvements using technology and automation
Seniority
Senior, hands-on IC