JOB TITLE - Regulatory Affairs Compliance Officer (Director Level)
COMPANY OVERVIEW:
- A leading global investment firm that offers alternative asset management and capital markets and insurance solutions.
- This firm sponsors investment funds that invest in private equity, credit and real assets and has strategic partners that manage hedge funds.
- This firm's insurance subsidiaries offer retirement, life and reinsurance products under the management of The Global Atlantic Financial Group.
POSITION SUMMARY
- This firm is seeking a Compliance Officer based in New York.
- This individual will be an integral part of the Compliance Team with a focus on risk assessment, testing and monitoring, surveillance, and regulatory exam management and regulatory affairs.
- The role reports to the Private Markets Deputy Chief Compliance Officer and Real Estate CCO.
- This individual will be responsible for the development and implementation of an integrated compliance strategy for testing, surveillance, and controls to support regulatory expectations and business evolution.
- The individual will also help oversee the administration of the firm's Code of Ethics and related policies and procedures.
RESPONSIBILITIES
- Directly manage, supervise, and develop team of compliance officers responsible for centralized code of ethics, testing and monitoring, surveillance and regulatory change management
- Administration of all aspects of the firm's Code of Ethics, including review and approval of requests related to the personal investment policy, outside business activities, gifts and entertainment, and political contributions
- Exercise primary responsibility for the core compliance program, including execution and oversight of testing and monitoring program, surveillance program, and all aspects relating to the preparation of annual 206(4)-7 and 38(a)-1reports
- Coordinate global compliance team and other control groups on initiatives including surveillance, risks assessments, testing and audits
- Provide real time advice on regulatory and internal policy issues
- Monitor, analyze and interpret new rules and regulations, including identifying and addressing gaps between existing processes and new regulatory requirements, and participating in relevant regulatory/industry initiatives
- Draft and revise other policies and procedures and advisory bulletins relevant to supporting the program, including relevant Compliance Manuals
- Conduct business focused compliance training regarding new and existing regulations and firm policies
- Analyze and prepare responses to regulatory inquiries and due diligence requests from third parties
- Assist with SEC Exam preparedness and management
QUALIFICATIONS
- Minimum of 12 years of strong regulatory compliance gained within an alternative asset management environment.
- Legal experience / background useful but not essential
- Prior formal management experience strongly preferred
- Enthusiasm, motivation, and the ability to be proactive.
- Solution-oriented self-starter with high integrity.
- Solid ability and strong desire to work as part of an effective and collaborative team
- Ability to make sound judgements and simultaneously manage various issues and projects in a fast-paced and high-performance environment.
- Consistent attention to detail; acts professionally regarding sensitive subjects and maintains confidentiality while exercising discretion at all times
- Sound interpersonal skills and relationship building abilities.
- Effective communication skills including very strong written communication skills for report writing and analysis.
- Methodical, structured, and rigorous approach to deliver
