Compliance Officer (Bureau of Asset Management)
Core
Identify and implement policies and workflows to monitor regulatory compliance for NYC pension systems' investment portfolios and external managers.
Role type
Senior compliance officer (financial services)
Builds
Compliance monitoring frameworks, due diligence reports, and regulatory adherence for public pension assets
Domain
Public sector finance / Pension fund management
Required skills
regulatory compliance analysis, operational due diligence, investment guideline monitoring, business continuity planning, process automation, personal trading policy enforcement, regulatory research
Preferred skills
experience with private market manager recommendations, public equity/fixed income evaluation, ethics questionnaire management
Technologies
internal compliance tools, electronic data feeds
Responsibilities
Perform compliance-related operational due diligence and disclosure form review on private market manager recommendations; Serve as compliance advisor to public equity and fixed income search evaluation committees; Assist in performing compliance reviews of investment memos and quarterly reporting; Maintain Business Continuity and Disaster Recovery Plan; Automate internal compliance processes including guideline monitoring and ethics questionnaires; Execute Personal Trading Policy including onboarding and departure processes; Research changes in regulatory rules affecting investment firms
Seniority
Mid-to-Senior, hands-on IC