Compliance Officer Jobs

A prestigious alternative investment management firm is seeking a Compliance Professional to to join their team.

Responsibilities:

• Conduct periodic testing of policies
• Develop, prepare firm's compliance policies and procedures.
• Code of Ethics monitoring and review including best execution, investment guidelines, trade errors, personal trading, and gifts/entertainment policies
• Create and implement continuous compliance training program
• Review firm marketing materials for regulatory compliance and firm communication guidelines.
• Assist with the preparation of regulatory filings (including the firm’s Form ADV, Form 13(F, G, H) and investment adviser registrationsAdminister the firm’s business continuity plan, data security plan and management of annual cybersecurity and surprise custody examination
• Administer the Firm’s compliance program while remaining up-to-date regarding regulatory developments.

Qualifications:

• Strong attention to detail, as well as organizational and time management skills; ability to multi-task in a fast paced environment
• High degree of integrity and work ethic
• Strong experience with Microsoft Office suite
• Familiarity with the Investment Advisers Act and other rules and regulations applicable to U.S. investment advisers.
• Ability to work with senior management across teams and office locations, managing multiple deadlines and following up when necessary.
• College graduate; with a minimum of 3-4 years of work experience in an asset management firm