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Compliance Officer

3 months ago

Philadelphia, United States Xponance, Inc. Full time

About Xponance

Xponance is a distinguished, woman-led, and entirely employee-owned multi-strategy investment firm dedicated to revolutionizing access to alpha for clients and the wider investment community. Established in 1996 by Tina Byles Williams with AUM of $18.6 billion as of 6/30/24, our firm specializes in global and non-U.S. equity investment strategies, employing a multi-manager framework that leverages the unique insights and dedication of entrepreneurial, emerging, and diverse managers within a proven strategic framework.


As a direct equity manager, we design and oversee systematic, risk-controlled, active, and passive strategies, including client-directed 'Values Based' screening and the exclusive utilization of corporate DEI scores from our partner, As You Sow. Our active U.S. fixed income core strategies cover the maturity spectrum, providing an income advantage and safeguarding against downturns through the ownership of distinctive, off-benchmark securities.


Furthermore, our Alternative subsidiary, Xponance Alts Solutions, focuses on GP Staking and Seeding initiatives for diverse and woman-led alternative managers. Lastly, Aapryl, LLC, our fintech subsidiary, delivers a web-based analytical platform designed to assist asset owners and advisors in portfolio, asset manager, and risk due diligence, empowering them in fulfilling their fiduciary duties.


At Xponance, we are committed to driving innovation and delivering value to our clients and the broader investment landscape.


Opportunity – Senior Compliance Officer

Xponance is looking for an ethical, teamwork driven compliance professional to provide value to the Legal and Compliance Department as its Senior Compliance Officer. The Senior Compliance Officer will report to the General Counsel & Chief Compliance Officer and will assist in the development and maintenance of the Firm’s compliance program and regulatory compliance requirements. The successful candidate must be knowledgeable about the Investment Advisers Act of 1940 and other regulations applicable to registered investment advisers. The role will have lead responsibility for compliance monitoring and review of marketing materials, submission of periodic compliance deliverables to clients, oversight of sub-manager compliance programs, and submission of certain regulatory filings. The candidate will also be expected to play an active role within the broader investment management industry including participation in industry associations and similar opportunities to shape compliance best practices.


This position is based in Philadelphia, PA but will require periodic travel to the North Carolina office. The Firm currently has a hybrid schedule of three days in the office and two days remote work.

ESSENTIAL DUTIES AND RESPONSIBILITIES

  • Maintain the compliance calendar and track project deliverables.
  • Collaborate with the Marketing Team to review marketing materials and monitor social media presence.
  • Oversight and document annual review of sub-manager compliance programs.
  • Collaborate with various teams in gathering information for submission of periodic compliance deliverables to clients, responses to prospective client inquiries, and regulatory examinations.
  • Provide data entry assistance and data quality support for regulatory filings (Form ADV, Form PF, 13 Series filings, etc.)
  • Fact-finding, upon the direction of the CCO, on new compliance-themed industry requirements and risk alerts
  • Support the compliance risk assessment process and the compliance testing program.
  • Perform other related duties and ad hoc projects as assigned.


QUALIFICATIONS

EXPERIENCE & ATTRIBUTES:

  • Knowledge of ethical practices and standards in the financial services industry
  • Capability of fostering a “Culture of Compliance” by example
  • Superb verbal and written communication skills with a maniacal attention to detail
  • Ability to independently advance projects with limited oversight and judgment to know when to seek supervision
  • Team-oriented
  • Proficiency in: Word, PowerPoint, and Excel
  • Able to travel

EDUCATION AND EXPERIENCE REQUIREMENTS

  • Bachelor's degree required; advanced degree a plus
  • IACCP certification
  • Eight years of relevant business experience in investment management compliance (either in house or consulting) with significant knowledge of advertising and marketing requirement


SKILLS

LANGUAGE SKILLS

Ability to analyze, and interpret general business periodicals, professional journals, technical procedures, or governmental regulations. Ability to compose quarterly client reports and other business correspondence. The candidate must possess the ability to communicate effectively with groups of clients, outside vendors, or employees of the organization.

MATHEMATICAL SKILLS

Ability to calculate figures and amounts such as discounts, interest, commissions, proportions, and percentages and apply concepts of basic algebra. Must possess conceptual understanding of the reconciliation process.

REASONING ABILITY

Ability to deal with problems involving several concrete variables in standardized situations as well as in situations where only limited standardization exists.