Compliance Officer

3 weeks ago

Austin, United States Amherst Full time

The Senior Compliance Officer will assist with the effective implementation and administration of Amherst’s RIA compliance program with an emphasis on initiatives relating to the firm’s mortgage-backed securities strategy. This position works closely with Amherst’s Investment Operations and Portfolio Management areas. This position proactively works with subject matter experts to identify and escalate compliance risks and achieve strong compliance results. In addition, s/he will support the business in developing appropriate controls and procedures to mitigate business and product specific risks and primarily responsible for developing and performing compliance monitoring/testing of the business’s controls.  


Primary Responsibilities:

·      Responsible for the firm’s Code of Ethics administration through Ascendant Compliance Manager, including the establishment, dissemination and tracking of compliance certifications and the ad hoc review of potential violations

·      Assist the CCO in the administration of firm’s compliance program, including management of the compliance calendar and oversight of recordkeeping

·      Monitor compliance with all regulatory requirements and investment guidelines of the firm’s separately managed accounts and mutual funds within the firm’s order management system (via Bloomberg AIM)

·      Research / communicate guideline and trading issues to individuals across the company including Portfolio Management, Operations and Client Services teams

·      Review marketing and advertising materials for compliance with regulatory requirements and/or internal compliance policies and procedures. 

·      Assist the CCO with US regulatory filings (ADV, Form PF, CPO-PQR)

·      Perform ongoing upkeep of the firm’s compliance, risk and control matrix

·      Maintain current knowledge of regulatory requirements and developments, monitor risk, identify and correct possible gaps and weaknesses


Required Skills:

·      Bachelor’s degree required

·      Minimum 3 years of experience in compliance at an SEC-registered investment adviser, preferably experience at an alternative investment manager (e.g., real estate, hedge fund)

·      Marketing compliance experience a plus

·      Experience reviewing different types of institutional marketing collateral including RFPs, website & social media content, and customized client presentations

·      Solid knowledge of Investment Advisors Act, Investment Company Act, and securities laws and regulation

·      Strong analytical mindset with an ability to synthesize data and quickly identify and resolve issues and with attention given to detail and accuracy

·      Technical and professional skills or knowledge of testing methodology, risk and controls analysis

·      Ability to lead and execute multiple projects (short and long term) and tasks independently, accurately and on time

·      Experience with drafting, implementing and testing policies and procedures

·      Excellent written and oral communication; able to deliver presentations in an articulate and convincing manner

·      Excellent organizational, problem-solving, decision-making and time management skills

·      Advanced proficiency with Microsoft Office Suite 

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