Compliance Officer

1 month ago

New York, United States Career Group Full time

Compliance Officer – New York, NY (onsite)


SEC-registered investment adviser specializing in Collateralized Loan Obligations (CLO), Asset-Backed Securities (ABS), and Commercial Real Estate (CRE) with approximately $16.8B AUM is seeking a Compliance Officer to assist with compliance oversight with respect to its SEC-regulated advisory business. Drawing on the investment team’s extensive expertise in structured credit, we established an advisory business to offer specialized investment strategies and products to third-party clients through funds and separately managed accounts. We offer such investment management services on a discretionary and/or non-discretionary basis, depending on the client’s governance, structure, and needs.


Funds

  • Company sponsors private funds (exempt from Investment Company Act reporting) that are offered to qualified investors in the US and elsewhere. Affiliates will serve as general partner and investment manager to the funds.
  • Company also sponsors funds subject to the Investment Company Act
  • Company has sponsored/launched two CLO ETFs: CLOZ and CLOX (NYSE)


Separate Accounts

  • Company has investment management agreements with clients to provide advice, analysis, and due diligence on CLO, ABS, and CRE investment opportunities to third-party professional investors seeking separately managed account strategies.


SCOPE AND RESPONSIBILITIES

The Compliance Officer will report to the General Counsel and work closely with other members of the legal and compliance team. The Compliance Officer will have a junior resource. The role is a generalist position with the opportunity to manage a broad scope of matters, ranging from Code of Ethics management, carrying out testing and training, policy development, compiling regulatory filings, marketing material review, allocation and investment management oversight, and information security, among others.

The Compliance Officer will also be responsible for the continued development, implementation, improvement, maintenance, and monitoring of all of the Firm’s compliance requirements. The Compliance Officer will be responsible for managing ETF reporting and filing and interacting with the ETF service providers. He/she will be responsible for preparing internal and external memos, minutes, and other various compliance reporting documents.

The Compliance Officer should have the desire to work in an entrepreneurial environment and must be comfortable interacting with a wide variety of team members across the operations, finance, and investment functions. He or she must have or be capable of gaining an understanding of the business of the Firm and have the capacity to grow with the organization, ensuring continued compliance excellence.


Specific responsibilities expected to include:

Internal Policies and Compliance

  • Managing/overseeing junior resource with respect to Code of Ethics reporting such as pre-clearance of personal trades, gift and entertainment requests, questions regarding the SEC compliance manual
  • Managing overall compliance program and calendar
  • Fielding and responding to questions regarding the US staff handbooks
  • Documenting and monitoring investigations of breaches or alleged breaches of regulations and/or company compliance policies, standards or procedures, and facilitate the resolution of breaches
  • Maintaining and monitoring the Firm’s restricted list

General

  • Assist the General Counsel with managing the existing compliance policies and procedures, which includes proposing and implementing various compliance initiatives
  • Maintain a working knowledge of relevant compliance rules and regulations, and act as a resource when appropriate, in particular with respect to relevant regulatory developments in the US (including the Investment Advisers Act, Investment Company Act, and other US federal securities laws and regulations, etc.)
  • Assist the General Counsel with routine compliance activities and help promote and maintain the Firm’s culture of compliance
  • Assist the General Counsel and Senior Management in the identification and mitigation of conflicts of interest, including adopting and implementing policies around principal transactions and cross trades
  • Perform audit related functions
  • Interact with third party service providers on compliance-related issues

Transaction Based Compliance Activities

  • Perform know-your-customer (“KYC”) and anti-money laundering (“AML”) analysis
  • Assist with the retention, organization and retrieval of transaction data in the Firm’s compliance monitoring system, including with respect to compliance testing

Fund Raising/Marketing/Advertising

  • Assist the GC with respect to client on-boarding procedures
  • Support the launching of client accounts by analyzing investment advisory contracts and investment guidelines, coding automated compliance tests in the order management system, and coordinating with members of the investment team
  • Assist in the review of marketing materials to ensure compliance with the relevant regulatory requirements as well as internal standards
  • Assist with the identification and monitoring of ERISA and government clients, if any

Regulatory

  • Assist with information requests from relevant regulators (such as the SEC) in consultation with the GC
  • Assist with and liaise with outside counsel and compliance consultants as directed on regulatory questions, filings and related matters, including Form ADV, Reg D, Form PF, FINRA filings, blue sky state filings, etc.
  • Manage ETF filings and reporting alongside ETF third party providers


REQUIREMENTS:

  • Bachelor’s degree, with a strong academic record from an accredited college or university
  • 5-10+ years of relevant work experience in a compliance or regulatory role, with a strong preference for demonstrated experience in asset management, previous employment with a financial regulator or compliance consulting firm or previous oversight of a compliance program within a substantial regulated investment adviser (“RIA”)
  • Ideally, experience working for an SEC regulated firm and familiarity with the Investment Advisers Act and Investment Company Act
  • Proficiency in Microsoft Word, PowerPoint and Excel
  • Excellent written and verbal communication skills
  • Ability to work in a fast-paced environment


COMPENSATION:

$150-250K+ base salary plus discretionary performance bonus and competitive benefits package.

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