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Senior Vice President of Compliance

2 months ago

Dallas, Texas, United States Fortress Investment Full time

Position Overview
We are seeking a seasoned Compliance Officer to enhance our Legal and Compliance Department. This role is critical in ensuring adherence to regulatory standards and maintaining the integrity of our compliance framework.

About Fortress Investment Group
Fortress Investment Group LLC is a prominent global asset management firm, overseeing approximately $49 billion in assets. Established in 1998, we serve over 2,000 institutional clients and private investors worldwide, focusing on diverse investment strategies including credit, real estate, private equity, and permanent capital.

Key Responsibilities
The successful candidate will collaborate with various departments to:

  • Oversee the administration of the compliance program.
  • Conduct segments of the annual compliance review in accordance with SEC regulations.
  • Maintain and update the Restricted Trading List.
  • Analyze trade surveillance reports to monitor fund trading activities.
  • Review and approve marketing materials.
  • Address inquiries related to personal trading, private investments, and Code of Ethics matters.
  • Assist with regulatory reporting and filings.
  • Perform additional compliance assignments, including routine regulatory examinations and compliance testing.

Qualifications
The ideal candidate will possess:

  • A Bachelor's degree with a strong academic record.
  • 7-10+ years of experience in a compliance role within a SEC-registered investment adviser.
  • Exceptional work ethic, attention to detail, and strong organizational skills.
  • A commitment to professional growth and development.
  • Proven ability to manage multiple tasks and solve complex problems.
  • Technical proficiency with relevant software applications.

Fortress Investment Group LLC is an equal opportunity employer, considering all applicants without regard to race, religion, gender, age, national origin, disability, or any other status protected by law.