Compliance Officer

Full Time

Madison-Davis Client


The new hire will be joining a high performing and collegial legal and compliance team currently consisting of ten professionals (nine of whom are lawyers), led by the firm’s Chief Administrative Officer and Head of Legal.

He or she will be primarily responsible for:

• Assisting with the day-to-day compliance responsibilities, including administration of the firm’s personal trading, gifts and entertainment, outside business activities and political contributions policies;
• Administering various compliance questionnaires and certifications and liaising with employees to respond to questions;
• Managing corporate entity database;
• Assisting with annual compliance review;
• Assisting in preparing materials for registered fund board meetings;
• Maintaining conflicts of interest log;
• Assisting with forensic testing of various compliance policies and procedures;
• Monitoring daily portfolio compliance tests and liaising with portfolio management teams and others in connection therewith;
• Maintaining Restricted/Watch Lists;
• Assisting with new hire compliance onboarding/offboarding;
• Maintaining compliance calendar;
• Reviewing marketing materials to ensure the accuracy of necessary disclosure;
• Maintaining and organizing files;
• Responding to requests for information and/or documents from other teams within the organization, including AML/KYC requests; and
• Assisting with a variety of special projects as needed.

Job Requirements:

Education and Qualifications

• Commitment to the firm’s core values of Focus, Humility and Kindness;
• Bachelor’s degree required;
• At least two (2) years’ of experience in either a compliance-related role at a financial services firm and/or asset manager or as a paralegal at a top-tier law firm, or both.
• Excellent communication skills (both written and verbal);
• Exceptional attention to detail;
• Strong organizational skills;
• Ability to work independently and see tasks through to completion;
• Experience in supporting and assisting team in a fast-paced and deadline-driven environment; and
• Eagerness and ability to develop strong sense of institutional knowledge and expertise about the firm and its products to bring to bear on all tasks.

Interpersonal Competencies and Success Factors

• Exceptional written communication skills;
• Strong problem-solving capabilities;
• Excellent interpersonal skills and the ability to interact effectively at all levels of the organization;
• Gravitas and self-confidence, but also humility, kindness, open-mindedness, respect for others (regardless of position), and willingness to work as a team member; and
• Pride in all aspects of his/her work.

• Competitive compensation package commensurate with experience.
• Unlimited PTO
• Exceptional benefits package with:
o $1/month premiums
o HSA plan option with employer funding
o Dedicated benefits concierge
o Free One Medical membership
o Flexible unmetered parental leave policy
o 401(k) plan with company match
• Employer sponsorship for personal/professional development programs

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