About The Role:
A fast growing asset manager is looking to bring on a Senior Compliance Officer that reports directly into the Chief Compliance Officer. This position provides growth opportunity and will recieve direct exposure to senior leadership.
Responsibilities:
- Aid in overseeing the Compliance Program of the firm.
- Serve as a knowledgeable source on all matters concerning firm's Code of Conduct and Compliance Policies.
- Create, refine, implement, and oversee compliance policies and procedures.
- Support in completing regulatory reporting, including Form ADV.
- Review promotional materials to ensure compliance with relevant SEC regulations.
- Assist in conducting the firm's annual compliance review and risk assessment.
- Keep track of, analyze, and interpret current and proposed regulatory requirements that affect or could affect the firm's business, operations, and functions.
- Support the Chief Compliance Officer and General Counsel during regulatory examinations.
- Aid the Chief Compliance Officer in preparing for quarterly Compliance Committee meetings.
- Undertake other compliance-related tasks and projects as assigned.
- Serve as a primary contact for reporting issues.
Qualifications:
- Bachelor's degree or higher in a related field.
- 5+ years of experience, preferably in financial services.
- Proficiency in the Investment Company Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, and associated regulatory mandates.
Benefits:
- Competitive compensation package, including an initial equity grant.
- 401K plan with a company match.
- Plus many more perks!
Apply in if you think this positon is a fit for you!
