About the Role:
We are looking for a highly qualified, seasoned, and driven individual to become the Head of Compliance on an expanding Legal and Compliance team. This position will report directly to the VP, Head of Legal. In your capacity as Head of Compliance, you will be in charge of managing compliance programs in foreign jurisdictions as well as designing, implementing, and evaluating them within the United States. A plus is having knowledge of and interest in blockchain technology and digital assets.
What you will be doing:
- Maintaining the continuous adoption, execution, and oversight of policies, processes, and controls to guarantee adherence to the Investment Company Act, the Investment Advisers Act of 1940, and any other relevant regulations, such as those managed by the SEC, FINRA, CFTC, and NFA
- Familiarity with the duties of a commodity pool operator (CPO) and registered investment adviser (RIA) in terms of regulatory compliance
- Providing guidance on AML/KYC regulations both domestically and abroad
- Recognizing, assessing, looking into, and addressing compliance and risk issues/concerns in a timely and appropriate manner
- Continuous compliance testing
- Administering or guaranteeing the delivery of education and training on compliance for all personnel
- Complete all regulatory filings for the company and collaborate with relevant teams to acquire necessary data
- Collaborating with and overseeing external parties involved in outsourced compliance functions
- In charge of filing employee forms and managing licenses, including Series licensing and Form U4s
- Review all electronic communications
- Cooperating with teams and advisors in different regions to implement local compliance and risk standards consistently and cohesively
- Offer timely and high-caliber advice on compliance and risk to the business and functions, and ensuring that the business requirements are fulfilled
Desired Qualifications:
- 8 or more years of experience in compliance or consultancy within the asset management sector.
- Proficient in working with SEC, FINRA, NFA, and CFTC regulated entities and investment companies.
- Extensive knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940 (along with related rules), and regulatory standards/best practices for U.S. Registered Investment Advisers (RIAs).
- Exceptional interpersonal, presentation, written, and oral communication skills, including the ability to compose board materials and present at board meetings.
- Capability to independently identify regulatory issues and develop effective solutions.
- Proficient in liaising with individuals at all levels of management.
- Possesses strong attention to detail and analytical skills.
This role is based in New York City and will be expected to work from our New York office in a hybrid model Monday - Wednesday.
