An independent investment management firm that manages approximately $120 billion in assets and has been in business for over one hundred years, seeks a Senior Compliance Officer for their asset management division.


The firm provides investment management services including private funds, institutional investors, and high net worth individuals.  The firm focuses on active, fundamental and benchmark-agnostic investing, with a strong focus on downside protection.


The Senior Compliance Officer will be responsible for the following:


Primary Responsibilities:

  • Assist the compliance team in monitoring and testing related to 206(4)-7 and 38a-1;
  • Monitor and review client portfolio transactions or any activity to determine adherence to client guidelines, firm policy or applicable regulatory requirements;
  • Perform trade and market data surveillance to protect the firm from reputational, regulatory and financial risks;
  • Partner with the business to ensure effective controls are in place to meet regulatory requirements; monitor the business units’ performance with compliance, and alert management to compliance gaps and issues;
  • Partner with Legal on all regulatory developments, requirements and proposals as applicable;
  • Enhance and design compliance system controls including working with technology support;
  • Participate in the firm-wide training and education program; which include annual compliance meeting;
  • Assist with regulatory exams and inquiries;
  • Actively identify risks and facilitate their mitigation to acceptable levels;
  • Use Personal Trading System for monitoring employees’ personal securities transactions;
  • Perform e-communication surveillance;
  • Prepare or assist in preparation and filing of regulatory reports; and
  • Assist on special projects and ad hoc assignments;



  • Bachelor’s degree required;
  • Minimum of five years relevant work experience, strong analytical and problem-solving skills in addition to proficiencies in Microsoft Excel;
  • Investment Adviser compliance experience, with the ability to interpret applicable regulations is required;
  • Knowledge of the Investment Advisers Act of 1940, and Investment Company Act of 1940; and
  • Knowledge of FINRA regulation or FCA regulation a plus.


Please email resumes to Michael Lane at MLane@ComplianceSearch.com.


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