A major financial services firm seeks a Senior Compliance professional for their investment management division.


This Senior Investment Compliance officer role provides a unique opportunity for a highly motivated candidate. He/she will join the Investment Compliance team responsible for creating, implementing, and monitoring the compliance policies and procedures of an almost $100 billion asset manager. The portfolio consists of a broad range of both public and private assets under management.


In this role, the Compliance officer will report to the Senior Manager of Investment Compliance and will work with internal users/stakeholders across the front, middle, and back office to create, enact, enforce, and test the effectiveness of the firm’s Compliance policies and procedures.


You should have knowledge and understanding of SEC Investment Adviser rules and regulations.  Additional experience delivering training, assessing material non-public information, providing guidance for private capital compliance issues, and ensuring compliance with ERISA regulations is a plus.


  • Design and perform monthly/quarterly testing of all of the asset management division’s compliance policies. Ensure policies are being applied properly across all clients and that ERISA laws are being followed as applicable.  Present results to management with recommendations for improvements to processes and changes to the policies.
  • Draft changes to the policy manual consistent with the results of testing and industry best practices. Work with legal counsel to ensure changes are consistent with business needs and regulatory expectations.
  • Assist in identifying, evaluating, and documenting receipt of potential material non-public information. Ensure records of information received and evaluation of the impact are clear, up to date, and ready for potential regulatory review.
  • Assist in the design and implementation of a firm wide compliance training program.  Present new hire in-person training.
  • Perform adviser policy effectiveness testing and ongoing monitoring, including, trade activities, conflicts of interest, communications etc.
  • Assist in pre and post trade compliance monitoring. Review existing trade compliance rules for accuracy and completeness.
  • Prepare listings of Adviser investments, vendors, and partners for Corporate OFAC review. Follow up on any questions from Corporate. Ensure any restrictions are properly communicated to portfolio managers.
  • Assist in ensuring that all GC&E compliance requirements including the Code of Conduct are adhered to by employees.
  • Perform daily email monitoring to ensure compliance with the Code of Conduct and Compliance Policy Manual.
  • The actual internal level/grade for this role will depend on the candidate’s overall experience and skill level.


  • Bachelor’s degree in Business is required with a major in Accounting or Finance is preferred.
  • A minimum of 3-5 years prior experience in the securities industry working with investment regulations. Knowledge of Investments Advisers Act of 1940 required.
  • Experience with private capital preferred.
  • Excellent interpersonal and communications skills are required.  Demonstrated analytical, computer and organizational skills.

Please email resumes to Jack Kelly at Jack@ComplianceSearch.com.

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