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Compliance Officer
1 month ago
A global finance company is seeking a responsible, proactive, and detail-oriented individual to join our compliance team at our growing investment adviser. Founded in New York City in 2009, we have expanded to over 60 employees globally, with additional offices in Miami, London, and Hong Kong.
Job Responsibilities:
Your responsibilities will include preparing regulatory filings, collaborating with compliance staff to support the firm’s business units, designing and reviewing automated compliance monitoring reports, and ensuring adherence to compliance policies. You’ll also work on long-term projects to maintain the firm’s high compliance standards with new and existing regulations. Additionally, you’ll work regularly with the CCO, in developing and implementing policies and procedures for a registered investment adviser, with a specific emphasis on the Investment Advisers Act, the Investment Company Act, FINRA, and related rules and regulations. Other responsibilities include:
- Assist in the review of standard materials, including advertising, sales literature, correspondence, and RFP/RFI/DDQs.
- Assist in the 206(4)-7 annual review and amendments to Form ADV and other applicable regulatory reporting requirements with the SFC and FCA.
- Help develop and conduct training and education to staff relating to policies and procedures and any amendments
- Managing and monitoring electronic communications in compliance with regulatory requirements.
- Staying up-to-date with regulatory changes, updating CCO on suggested adjustments to business practices
- Strong understanding of the regulatory environment, including the latest changes and trends
Requirements
- A bachelor’s degree or higher in Finance or related fields is required
- Excellent analytical abilities, drafting and verbal communication skills, and well-developed numeracy.
- A minimum of 2 years experience in a similar role within the financial services industry, preferably within an investment advisory firm, hedge fund, or financial services compliance consultancy firm
- Proven track record in preparing and submitting regulatory reports
- High proficiency with Google Suite (especially Gmail, Calendar, GDocs, and GSheets) and Microsoft Office (Word, Excel, PP)
- High level of integrity and discretion in handling confidential information
- Ability to manage multiple projects simultaneously
- Accomplishes tasks promptly
- Exceptional organizational skills and attention to detail
Benefits:
- Potential for hybrid work
- Eligible for discretionary annual Bonus
- Medical, Dental, Vision Eligibility
- STD/LTD, Life Insurance Eligibility
- 401(k) with company matching
- 25 days PTO and 9 paid holidays
- Complimentary catered lunch every Friday
- Free concierge doctor services for full-time employees
- Casual atmosphere
