A top-tier alternative investments firm seeks a Compliance professional for their New York offices.
This position is responsible for compliance matters relating to the firm’s Business Development Group (“BDG”) and will focus primarily upon reviewing and approving a variety of marketing, communications, and related materials produced in support of the firm’s global asset management business.
Additionally, this role provides general compliance support related to the firm’s distribution and marketing efforts worldwide, as well as any other important projects.
PRIMARY FUNCTIONS AND ESSENTIAL RESPONSIBILITIES
• A key compliance contact and advisor for firm’s global business development activities, responsible for ensuring premier client service and professional relations between the firm’s Compliance department and the firm’s Business Development Group (“BDG”) including:
o As directed by the AVP – Compliance Officer of BDG – review and analyze sales literature and marketing materials for various pooled vehicles, including unregistered funds, as well as separately managed accounts to assess compliance with any or all of SEC, FINRA, non-US, and the firm’s internal policies;
o Provide guidance and recommendations to business unit personnel to promote compliance;
o Provide compliance advice and guidance to the firm’s global investor relations team;
o Keep up-to-date on global regulations and regulatory environment in assigned area, and participate in training and education for other Compliance personnel as well as business unit personnel;
o Participate in Compliance Department initiatives and projects on an ad hoc basis.
• Work closely with the firm’s Legal Department to: determine application of and interpret relevant laws, regulations and rules; resolve issues; and help ensure consistent flow of information between Compliance and Legal.
• Understanding of investment adviser industry including the Investment Advisers Act and Investment Company Act
• Understand of FINRA rules for Broker Dealers
• Interpretation of Regulation
• Working knowledge of alternative and structured finance
• Awareness of how the business works globally
• Risk Management
• Change Management
• Project Management
• Independent, creative problem-solver who enjoys building and managing new programs
• Strong interpersonal, relationship-building and negotiation skills
• Ability to influence others
• Excellent verbal and written skills
• Collaborative team player
• Interdisciplinary problem solver and solution driver
• Analytical judgment
• Relationship builder
• Comfortable with complexity
• College degree
• Series 7, 63, preferred
• 3 – 7 years of directly-relevant experience;
• Familiarity with SEC regulatory review and interpretation of regulations;
• Ability to manage challenging workflow in-fast paced, dynamic organization, managing multiple assignments in a deadline driven environment;
• Organizational skills, demonstrated ability to manage competing priorities and lead projects to completion;
• Proven ability to communicate effectively with all levels of management, auditors and regulatory examiners; and
• Experience with alternative credit-based strategies a significant plus.
Please email resumes to Jack Kelly – JKelly@ComplianceSearch.com
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