Job Description

Our client, a leading global investment management firm, is looking for a Compliance Manager to join their team.  The Senior Compliance Officer reports to the Chief Compliance Officer (CCO) for Senior Secured Management (ISSM) businesses. This position will also work closely with internal audit personnel and the assistant general counsel for these businesses.

The Senior Compliance Officer serves as the focal point for compliance activities. Coordination and communication are the key functions of the position with regard to planning, implementing, and monitoring the compliance program. In addition, this position will be copied on the results of all internal audit reports and will work closely with key managers to identify trends and implement corrective actions.

The Senior Compliance Officer should ascertain patterns that require a change in policy and forward these issues to the compliance lead to remedy the problem. This position is a high-profile position with direct access to ISSM and Corporate leadership, senior management, legal counsel (both internal and external), internal audit, and regulatory agencies. The Senior Compliance Officer sits in the NY offices of the ISSM business, along with the CCO, but will exercise independent judgment.

Key Responsibilities / Duties:

  • Oversees and monitors the implementation of the compliance program on a day-to-day basis with oversight from the CCO
  • Reports on a regular basis to the CCO and business senior management on the progress of implementation and assists them in establishing methods to improve efficiency and quality of services
  • Periodically works with the CCO to revise the program in light of changes in the needs to the organization and in the law, policies, and procedures surrounding RIAs and the bank loan industry
  • Assists the CCO to develop, coordinate, and participate in a multifaceted education and training program that focuses on the elements of the compliance program
  • Seeks to ensure that all appropriate employees and management are knowledgeable of and comply with pertinent federal and state standards
  • Coordinates, along with the CCO, internal compliance review and monitoring activities including periodic reviews of departments
  • Responds in conjunction with the CCO to regulatory inquiries as a key point of contact
  • Independently investigates and acts on matters related to compliance, including the flexibility to design and coordinate internal investigations (e.g. responding to reports of problems or suspected violations) and any resulting corrective actions
  • Develops policies and programs that build on the firm’s compliance culture
  • Assist the CCO in preparing annual and quarterly compliance reports to the senior management of ISSM and the CCOs of investment advisers and registered investment companies sub advised by ISSM
  • Addresses investor due diligence inquiries and other certifications
  • Prepares for regulatory inquiries and/or examinations
  • Keeps abreast of changing U.S. and foreign regulations and how they affect the business


Work Experience / Knowledge:

  • Minimum 5 years of Financial Services Industry Experience with 1+ years of direct experience with bank loan and collateralized loan obligations (CLO)
  • Compliance experience with the Investment Advisers Act of 1940 and the Investment Company Act of 1940
  • Experience with the regulatory environment (SEC, CFTC/NFA, NASD, and ERISA)
  • Familiarity with trading and recordkeeping systems and their compliance components, with experience with Wall Street Office and Everest systems preferred

Skills / Other Personal Attributes Required:

  • Highly organized with strong attention to detail
  • Strong verbal and written communication skills
  • Ability to work independently and as part of a team
  • Ability to work proficiently in a pressured environment
  • Ability to handle confidential information
  • Ability to communicate clearly with persons at a wide range of levels on sensitive matters
  • Ability to identify and thoroughly investigate reporting discrepancies and determine the appropriate course of action (either resolution or higher level review)
  • Proficient in MS Excel, PowerPoint, Word, and SharePoint
  • Ability to condense, refine, simplify, and communicate the purpose and significance of internal and external regulations
  • Ability to develop operating policies and procedures based on business needs

Formal Education(minimum requirement to perform job duties)

  • A Bachelor’s degree in a related field is required

Please email resumes to Jack Kelly – JKelly@ComplianceSearch.com

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