Compliance Officer

4 weeks ago

Austin, United States Amherst Full time

The Senior Compliance Officer will assist with the effective implementation and administration of Amhersts RIA compliance program with an emphasis on initiatives relating to the firms mortgage-backed securities strategy. This position works closely with Amhersts 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 businesss controls.

Primary Responsibilities:

Responsible for the firms 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 firms compliance program, including management of the compliance calendar and oversight of recordkeeping

Monitor compliance with all regulatory requirements and investment guidelines of the firms separately managed accounts and mutual funds within the firms 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 firms compliance, risk and control matrix

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

Required Skills:

Bachelors 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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