Senior Investment Compliance Manager

2 weeks ago

New York, New York, United States Bessemer Trust Company Full time
About the Role

Bessemer Trust is seeking an experienced Compliance Manager to join our Investment Compliance team. As a senior member of the team, you will assist in the management of the and 38a-1 Compliance Programs, including oversight of the Investment Compliance testing and monitoring program.

Key Responsibilities:
  • Assist in the management of the and 38a-1 Compliance Programs, including oversight of the Investment Compliance testing and monitoring program.
  • Assist with the management and daily oversight of Compliance team members and commensurate with experience, be primarily responsible for the management of team members.
  • Maintain and demonstrate a thorough understanding of the regulations applicable to investment-related activities and stay abreast of regulatory developments and industry best practices.
  • Serve as key Compliance adviser to the business on various investment-related areas, such as code of ethics/insider trading, best execution, trade allocation, soft dollars and cross trading.
  • Manage the portfolio compliance monitoring program. Manage the review of investment guideline warnings and alerts and any matters for escalation.
  • Prepare certain board and oversight committee materials, including the production of mutual fund board materials, and other reporting as needed.
  • Assist with due diligence of service providers, including sub-adviser, fund administrator, transfer agent, and distributor due diligence visits and questionnaires.
  • Implement and enforce effective Compliance policies and procedures in accordance with applicable laws and regulations.
  • Assist with Form ADV updates.
  • Develop and deliver Compliance training.
  • Perform other Investment Compliance related duties, as assigned.
Qualifications:
  • Bachelor's degree required; other related degrees, certifications, experience and training, a plus
  • 10+ plus years in a Compliance role for a registered investment adviser and mutual fund complex, with private funds and Cayman Funds experience, preferred
  • Effective understanding of SEC regulations, with a particular focus on the Investment Company Act of 1940 and Investment Advisers Act of 1940
  • Proficiency in Bloomberg, Longview and MyComplianceOffice is a plus
  • Excellent analytical, written and oral communication skills
  • Prudent and practical judgment and high level of integrity
  • Excellent organizational and project management skills
  • Some management experience, or a desire to obtain management experience
About Bessemer Trust

Bessemer Trust is a leading multifamily office, overseeing more than $200 billion in assets for 3,000 individuals and families of substantial wealth.

Its 1,200 employees are singularly focused on private wealth management — disciplined investment management, sophisticated wealth planning, comprehensive family office services, and highly personalized client service.

Established in 1907 as the family office for Annie and Henry Phipps, Bessemer Trust is in its seventh generation of ownership by the Phipps family.

As a self-made entrepreneur, Henry Phipps was a founding partner and chief financial officer of Carnegie Steel.

Bessemer Trust retains its original focus as a privately owned and independent wealth manager deeply committed to its mission of providing peace of mind to its clients.

Bessemer's adherence to putting clients' interests first, fiduciary mindset, and highly collaborative culture are at the heart of everything the firm does.

  • Senior Compliance Manager

    1 week ago

    New York, New York, United States Larson Maddox Full time

    Senior Compliance Manager - Investment BankingLarson Maddox is seeking a seasoned Compliance professional to join our Investment Banking team as a Senior Compliance Manager. This role will provide specialist Compliance advice and guidance to senior leaders and key members of our growing Investment Banking business, with a focus on Equity Capital Markets...

  • Senior Compliance Manager

    1 month ago

    New York, New York, United States Larson Maddox Full time

    Job SummaryLarson Maddox is seeking a highly experienced Senior Compliance Manager to join our Investment Banking team. As a key member of our Compliance department, you will provide specialist Compliance advice and guidance to senior leaders and key members of our growing Investment Banking business.About the RoleThe Senior Compliance Manager will be...

  • Investment Banking Compliance Coverage Officer

    3 weeks ago

    New York, New York, United States Societe Generale Corporate and Investment Banking - SGCIB Full time

    Job SummaryWe are seeking a highly skilled Capital Markets Compliance Officer to join our team at Societe Generale Corporate and Investment Banking - SGCIB. As a key member of our Compliance department, you will be responsible for providing regulatory and compliance advice to our Capital Markets teams, ensuring that our activities are in line with relevant...

  • Senior Software Equity Analyst

    3 weeks ago

    New York, New York, United States Top Tier Investment Manager Full time

    Senior Equity Analyst - Software SectorWe are seeking a highly experienced Senior Equity Analyst to join our team at a Top Tier Investment Manager. The successful candidate will have a deep understanding of the global Software sector and a proven track record of delivering high-quality research and analysis.The ideal candidate will have at least 10-15 years...

  • Investment Banking Compliance Expert

    2 weeks ago

    New York, New York, United States Larson Maddox Full time

    Senior Compliance Manager - Investment BankingLarson Maddox is seeking an experienced Senior Compliance Manager to join our Investment Banking team. As a key member of our Compliance function, you will provide specialist advice and guidance to senior leaders and key stakeholders in our Equity Capital Markets business.Key Responsibilities:Provide Compliance...

  • Senior Tax Accountant

    1 month ago

    New York, New York, United States Global Investment Managment Company Full time

    Job SummaryWe are seeking a highly skilled Senior Tax Accountant to join our team at a Global Investment Management Company based in NYC. As a key member of our finance team, you will play a critical role in ensuring compliance with all applicable tax laws and regulations.Key ResponsibilitiesReview and analyze federal and state corporate tax returns to...

  • Investment Compliance Specialist

    3 weeks ago

    New York, New York, United States PineBridge Investments Full time

    About the RolePineBridge Investments is seeking a highly skilled Investment & Trade Compliance Senior Associate/Vice President to join our Global Compliance Team. As a key member of our team, you will be responsible for ensuring the compliance of our asset management business with relevant securities laws and regulations.Key ResponsibilitiesSupport the Head...

  • Investment Compliance Specialist

    1 week ago

    New York, New York, United States PineBridge Investments Full time

    About the RolePineBridge Investments is seeking a highly skilled Investment & Trade Compliance Senior Associate/Vice President to join our Global Compliance Team. As a key member of our team, you will be responsible for ensuring the compliance of our asset management business with relevant securities laws and regulations.Key ResponsibilitiesSupport the Head...

  • Senior Investment Portfolio Manager

    2 weeks ago

    New York, New York, United States Metropolitan Transportation Authority Full time

    Job Title: Senior Investment Portfolio ManagerJoin the Metropolitan Transportation Authority as a Senior Investment Portfolio Manager and play a key role in shaping the financial future of our organization.About the Role:We are seeking a highly skilled and experienced Senior Investment Portfolio Manager to join our team. As a key member of our investment...

  • Senior Investment Management Analyst

    2 months ago

    New York, New York, United States Coda Search│Staffing Full time

    Company Overview: Coda Search│Staffing is representing a prominent firm in the Alternative Asset Management sector, focusing on Real Estate and related investments.Position Summary: We are seeking a highly skilled Senior Asset Management Analyst to enhance our client's Asset Management Team. This role offers comprehensive exposure to the investment...

  • Senior Investment Management Analyst

    1 month ago

    New York, New York, United States Coda Search│Staffing Full time

    Company Overview: Coda Search│Staffing is representing a prominent Alternative Asset Management firm that specializes in Real Estate and related investments.Position Summary: We are currently seeking a dedicated and skilled Senior Associate to enhance our Asset Management Team. This role offers comprehensive exposure to the investment lifecycle, with a...

  • Compliance Officer

    3 weeks ago

    New York, New York, United States Russell Investment Group Full time

    Job Title: Compliance OfficerJoin Russell Investments as a Compliance Officer and play a critical role in ensuring the firm operates within regulatory requirements and industry practices.About the Role:The Compliance Officer will be responsible for assisting in the documentation and execution of the compliance program for Russell Investments' U.S. registered...

  • Investment Associate

    3 weeks ago

    New York, New York, United States HPS Investment Partners Full time

    About HPS Investment PartnersHPS Investment Partners is a leading global investment firm that provides creative capital solutions and generates attractive risk-adjusted returns for its clients. With a strong focus on intellectual rigor and discipline, the firm manages various strategies across the capital structure, including privately negotiated senior...

  • Investment Banking Compliance Officer

    7 days ago

    New York, New York, United States Societe Generale Full time

    Job DescriptionSociete Generale is seeking a highly skilled Capital Markets Compliance Officer to join our team in New York City. As a key member of our Investment Banking Coverage Compliance team, you will be responsible for providing regulatory and compliance advice to our Capital Markets business, including Equity Capital Markets and Syndicate teams.Key...

  • Senior Compliance Officer

    1 month ago

    New York, New York, United States Ares Management Corporation Full time

    Job Title: Senior Compliance OfficerAres Management Corporation is seeking a highly skilled Senior Compliance Officer to join our Legal and Compliance team. As a key member of our team, you will be responsible for creating and implementing the Firm's Registered Investment Adviser program.Key Responsibilities:Collaborate with the Chief Regulatory Officer to...

  • Senior Investment Manager

    1 week ago

    New York, New York, United States J Harlan Group, LLC Full time

    Job Title: Managing Director Private CreditAt J Harlan Group, LLC, we are seeking an experienced and highly motivated Managing Director Private Credit to join our team. This is an exciting opportunity to be a key part of the growth of our firm, funds, and team.About the Role:We are looking for a seasoned and professional senior investment professional to...

  • Senior Compliance Officer

    4 days ago

    New York, New York, United States Ares Management Corporation Full time

    Job Title: Senior Compliance OfficerAres Management Corporation is seeking a highly skilled Senior Compliance Officer to join our Legal and Compliance team. As a key member of our team, you will be responsible for creating and implementing the Firm's Registered Investment Adviser program.Key Responsibilities:Develop and maintain a deep understanding of SEC...

  • Compliance Officer

    2 weeks ago

    New York, New York, United States JCW Full time

    Senior Compliance - Investment BankingWe are seeking an experienced senior regulatory compliance professional to join our M&A Advisory Boutique in New York. NY (hybrid). This role requires deep expertise in SEC and FINRA regulatory requirements, alongside the ability to provide comprehensive analysis and strategic recommendations in complex scenarios.Key...

  • Senior Investment Analyst in Asset Management

    2 months ago

    New York, New York, United States Coda Search│Staffing Full time

    Company Overview: Coda Search│Staffing is representing a leading firm in the Alternative Asset Management sector, focusing on Real Estate and related investment opportunities.Position Summary: We are currently seeking a highly skilled Senior Asset Management Analyst to join a dynamic Asset Management Team. This role offers comprehensive exposure to the...

  • Senior Manager of Investment ROI

    2 weeks ago

    New York, New York, United States PayPal Holdings, Inc. Full time

    Job Title: Senior Manager ROI/EffectivenessThe Investment ROI and Effectiveness Senior Manager plays a crucial role in building a best-in-class measurement framework to guide and optimize investment decisions. This individual will collaborate closely with the business analytics and technology functions to drive business growth and success.Key...