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Compliance Officer

Compensation
250k/year - 300k/year
Type
Permanent
Location
Stamford, CT

Total compensation is targeted at $250K - $300K. To be determined on candidate's credentials, experiences, and potential value to the department / firm.

 

Compliance Officer         

 

Position Overview:

Our client is a leading, global alternative investment firm, managing assets of approximately $15 billion, across hedge fund and private equity strategies. They focus on distressed and deep value opportunities, specializing in taking active roles in transactions through financial restructurings, serving on creditors’ committees, and / or leading business turnarounds.  

 

Currently they are seeking to hire a Compliance Officer to work closely with the CCO and General Counsel to ensure compliance with all applicable rules and regulations.  The ideal candidate will have a proven track record of analyzing and interpreting internal and external documents, be a proactive self-starter and possess strong critical thinking, problem-solving, analytical, and research skills.

 

Responsibilities will include (but not be limited to):

  • Support the development, implementation, and management of the day-to-day compliance program as well as long term compliance mandates
  • Work closely with the Compliance and Legal teams to ensure compliance with all applicable rules and regulations.
  • Develop, implement, and test internal controls, to develop and maintain necessary policies and procedures, providing necessary training, and partnering with the business across functions to ensure the company effectively manages risk related to its investment advisory business.
  • Manage compliance monitoring and testing to identify and resolve potential investment conflicts.
  • Interpret and apply regulations related to the operation and communications
  • Assist with day-to-day compliance matters, including commercial agreements, subscription and redemption procedures and other general compliance matters
  • Respond to and process requests and inquiries relating to regulatory reporting, fraud identification, AML, KYC, Customer Due Diligence, and Suspicious Activity Reporting.
  • Reviewing and approving marketing materials and collateral.
  • Reviewing and approving employee activities relating to the Code of Ethics.
  • Monitoring all devices and systems for cyber and information security compliance.
  • Administering Vendor outsourcing due diligence.
  • Contributing to and helping drive annual reviews, mock examinations, and other regular compliance tasks.
  • Assisting in building out the automation of the Annual Risk Assessment and Annual Review documentation.
  • Maintaining firm books and records and assisting with regulatory filings.
  • Assisting with regulatory examinations and ensuring implementation of new policies and procedures.
  • Supporting other initiatives and compliance projects within the firm.

 

Qualifications:

Successful candidate would be expected to forge strong working relationships and maintain responsive, clear, and consistent communication with senior individuals and departments across the firm.

 

  • Bachelor’s degree required. JD strongly preferred
  • 7+ years of compliance experience in investment management industry - law firm / in house at a hedge fund or private equity fund adviser.  Buy side experience preferred
  • Proven track record of securities industry compliance requirements and standards
  • Strong project management skills and ability to drive a task to completion by partnering across teams and navigating obstacles
  • Solid understanding of the Investment Advisers Act of 1940, Investment Company Act of 1940, and Securities Act of 1933
  • Ability to balance multiple projects with varying deadlines
  • Must be comfortable being independent and self-starter; has a sense of urgency
  • Excellent written and verbal communication skills and ability to interact with senior leaders across departments
  • Experience writing executive level presentations for senior stakeholders
  • Expertise in delivering high quality work products, reflecting attention to detail, analytical prowess, and critical thinking
  • Ability to quickly grasp complex concepts, including global business and regulatory matters
  • Professional maturity and confidence in expressing a point of view with senior management
  • Ability to exercise strong judgment and decision-making in a collaborative consensus-driven environment

Apply

Back to Jobs

Compliance Officer

Compensation
250k/year - 300k/year
Type
Permanent
Location
Stamford, CT

Total compensation is targeted at $250K - $300K. To be determined on candidate's credentials, experiences, and potential value to the department / firm.

 

Compliance Officer         

 

Position Overview:

Our client is a leading, global alternative investment firm, managing assets of approximately $15 billion, across hedge fund and private equity strategies. They focus on distressed and deep value opportunities, specializing in taking active roles in transactions through financial restructurings, serving on creditors’ committees, and / or leading business turnarounds.  

 

Currently they are seeking to hire a Compliance Officer to work closely with the CCO and General Counsel to ensure compliance with all applicable rules and regulations.  The ideal candidate will have a proven track record of analyzing and interpreting internal and external documents, be a proactive self-starter and possess strong critical thinking, problem-solving, analytical, and research skills.

 

Responsibilities will include (but not be limited to):

  • Support the development, implementation, and management of the day-to-day compliance program as well as long term compliance mandates
  • Work closely with the Compliance and Legal teams to ensure compliance with all applicable rules and regulations.
  • Develop, implement, and test internal controls, to develop and maintain necessary policies and procedures, providing necessary training, and partnering with the business across functions to ensure the company effectively manages risk related to its investment advisory business.
  • Manage compliance monitoring and testing to identify and resolve potential investment conflicts.
  • Interpret and apply regulations related to the operation and communications
  • Assist with day-to-day compliance matters, including commercial agreements, subscription and redemption procedures and other general compliance matters
  • Respond to and process requests and inquiries relating to regulatory reporting, fraud identification, AML, KYC, Customer Due Diligence, and Suspicious Activity Reporting.
  • Reviewing and approving marketing materials and collateral.
  • Reviewing and approving employee activities relating to the Code of Ethics.
  • Monitoring all devices and systems for cyber and information security compliance.
  • Administering Vendor outsourcing due diligence.
  • Contributing to and helping drive annual reviews, mock examinations, and other regular compliance tasks.
  • Assisting in building out the automation of the Annual Risk Assessment and Annual Review documentation.
  • Maintaining firm books and records and assisting with regulatory filings.
  • Assisting with regulatory examinations and ensuring implementation of new policies and procedures.
  • Supporting other initiatives and compliance projects within the firm.

 

Qualifications:

Successful candidate would be expected to forge strong working relationships and maintain responsive, clear, and consistent communication with senior individuals and departments across the firm.

 

  • Bachelor’s degree required. JD strongly preferred
  • 7+ years of compliance experience in investment management industry - law firm / in house at a hedge fund or private equity fund adviser.  Buy side experience preferred
  • Proven track record of securities industry compliance requirements and standards
  • Strong project management skills and ability to drive a task to completion by partnering across teams and navigating obstacles
  • Solid understanding of the Investment Advisers Act of 1940, Investment Company Act of 1940, and Securities Act of 1933
  • Ability to balance multiple projects with varying deadlines
  • Must be comfortable being independent and self-starter; has a sense of urgency
  • Excellent written and verbal communication skills and ability to interact with senior leaders across departments
  • Experience writing executive level presentations for senior stakeholders
  • Expertise in delivering high quality work products, reflecting attention to detail, analytical prowess, and critical thinking
  • Ability to quickly grasp complex concepts, including global business and regulatory matters
  • Professional maturity and confidence in expressing a point of view with senior management
  • Ability to exercise strong judgment and decision-making in a collaborative consensus-driven environment

Apply

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