Compliance Officer

3 weeks ago

New York, United States Cardea Group Full time

Compliance Officer (New York, NY): Our client, a global investment manager with over $30B in assets, has an exceptional opportunity for a mid-level compliance professional. This is an opportunity to report into the Chief Compliance Officer and oversee the US compliance program for the firm's private equity platform, while also collaborating with the credit compliance team.


Key Points:

  • Step into an established role with an opportunity to make a substantial influence and impact on the firm and the team.
  • Working directly with the CCO offers tremendous exposure and access to this new hire.
  • Firm is a successful global investment manager with secure assets, and boasts a solid and well-established reputation within the industry.

Responsibilities:

  • Conducting compliance monitoring in accordance with the rules outlined in the Global Compliance Manual.
  • Performing surveillance as part of the compliance monitoring program.
  • Generating reports for senior management on compliance monitoring findings, particularly concerning fees and expenses.
  • Supporting anti-money laundering (AML/CFT) checks for both US investors and transactions.
  • Managing the US compliance registers, which include: breach register, conflicts of interest, personal account dealing, gifts and entertainment, and political donations.
  • Timely and accurate submission of SEC regulatory filings (ADV and Form PF).
  • Developing compliance procedures and policies aligned with industry best practices.

Qualifications:

  • Bachelor's degree and 3-5+ years background in regulatory compliance.
  • Solid grasp of US regulatory requirements pertinent to private equity management.
  • Comprehensive understanding of SEC regulatory guidelines and standards.
  • Ability to clearly articulate views, opinions, and conclusions resulting from monitoring against SEC standards, both verbally and in writing.
  • Proficiency in interpreting regulatory rules and guidance, and evaluating the appropriateness of applying regulatory standards.
  • Skilled in communication, capable of fostering key relationships both internally and externally.
  • Take initiative, embrace responsibility, and manage their own time.

Compensation: $120-160K base; $140-200K all-in

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