Location: NYC (Midtown)
Compensation: $200k-$225k base + bonus
Company:
$70 billion alternative asset manager in NYC
The Role
The Compliance Officer will act as a generalist and assist and manage key compliance-related projects and initiatives, including those pertaining to training, testing, and designing, implementing and advising on policies and procedures. The Compliance Officer will work closely with senior and junior members of the team and help drive projects, manage business expansion and become a trusted advisor to the business
Core 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
- Assist with transactional and counterparty KYC processes
- 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
- Prepare and conduct ongoing compliance training for employees and new hires
What We Value
- Ownership mentality and strong desire to learn new areas of the financial industry
- Highly motivated, leads by example, and a team first attitude
- Strong analytical and problem-solving skills
- Commercial and Results Orientation
- High Trust and Integrity
- Strategic / Entrepreneurial Mindset
- Strong combination of organizational and interpersonal/communication skills
- Strong academic credentials
Preferred Qualifications
- 7+ years of relevant experience of broad-based regulatory/compliance experience, preferably with private fund experience
- Bachelor s Degree; MBA and/or JD [optional]
- Prior in-house experience at private fund investment adviser preferred
- Previous experience preferably includes policy and procedure drafting and compliance testing
- Strong written and oral communication skills
- Detail-oriented, responsible and proactive
- Deadline-oriented to meet time-sensitive contractual requirements
- Adept at problem solving
- Ability to handle multiple tasks simultaneously and work under pressure
- Candidate must be self-motivated and willing to work in a team environment across multiple offices
- Ideal candidate will be a team player, able to work collaboratively across different teams
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