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Compliance Officer
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About the job
- Assist in implementing the Global Compliance Program
- Drafting compliance policies and procedures
- Conduct research with respect to compliance and regulatory issues; develop new compliance initiatives
- Interact with the business and global compliance teams to provide advice and guidance to firm personnel on compliance matters
- Provide training to employees during induction, annual and ad hoc compliance trainings, including the preparation and updating of materials
- Assist with regulatory examinations, inquiries, investigations, internal audits and projects, as necessary
- Prepare and submit regulatory filings (i.e., Form ADV, 13H, N-PX)
- Undertake and lead special compliance related projects involving various inter-department stakeholders
- Conduct reviews as part of the Firm's overall compliance program as required under the Investment Advisers Act Rule 206(4)-7
- Organize and administer the Firm's committee governance program and documentation
- Monitor regulatory changes, updates and industry-wide compliance initiatives
- Review and analyze reports generated by the Firm's surveillance systems
- Improve internal compliance reports by identifying/closing any potential gaps, automating workflows/processes
- Bachelor's degree from an accredited university or college with a strong academic record; JD is a plus
- 7+ years of experience in compliance experience, including at a global financial institution, asset manager or regulator
- Superior verbal and written communication, as well as analytical and problem solving skills
- Experience with Form ADV; a solid understanding of regulatory/self-regulatory agencies (e.g., SEC, CFTC, NFA) and the requirements of the Investment Advisers Act of 1940 and the Securities Act of 1933 preferred
- Detail oriented; critical thinker, demonstrates thoroughness and strong ownership of work
- Entrepreneurial inclination; ability to work self-sufficiently and act as a project manager
- Highly motivated, proactive, results-oriented, able to multitask and prioritize in a fast moving, high pressure, constantly changing environment; strong sense of urgency
- Experience in working with different technology applications such as MS PowerPoint, Excel VBA Macros, Tableau, any other relevant data analytics tools preferred
- Good team player with a strong willingness to participate and help others
- Experience in a compliance position at a registered investment advisor preferred
- Broad product and financial services industry knowledge
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