Role OverviewThe Senior Compliance Officer will support the firm's investment management compliance program with responsibility for compliance monitoring and testing, policy and procedure development, and regulatory reporting.
What You Will Do
The successful candidate will draft, review, and maintain compliance policies and procedures, develop and perform risk-based compliance monitoring and forensic testing, and lead the continued build-out of the compliance program for the firm's private markets and real assets activities.
Why It Might Be a Fit
The individual should be intellectually curious, commercially aware, and enjoy building programs rather than simply administering established processes. The role requires a hands-on compliance professional with a minimum of 5 years of asset management industry compliance experience.
Requirements
- A minimum of 5 years of asset management industry compliance experience
- Knowledge of Investment Advisers Act of 1940, Investment Company Act, and CFTC/NFA rules and the compliance obligations applicable to registered investment advisers
- Strong policy and procedure drafting skills
- Experience with private credit, real estate, provide equity or other private-market strategies strongly preferred
- Excellent written and verbal communication skills
- Strong judgment, attention to detail, and ability to independently manage multiple priorities
- Ability to do risk-based compliance analysis, with a practical and commercial approach to problem solving
- Collaborative, team-oriented work ethic and commitment to building an inclusive and diverse team culture
Benefits
- Health insurance with an optional HSA
- Short term disability
- Long term disability
- Dental insurance
- Vision care
- Life insurance
- Healthcare
- Dependent and Limited Care Flexible Spending Accounts
- 401K
- Vacation
- Sick time
- Employee assistance program
- Commuter and transit programs
- Supplemental health benefits including accidental injury, critical illness, and hospital indemnity insurance
- Pet insurance
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