EXTERNAL CLIENT ROLE
The individual will support the investment adviser compliance program and serve as the global head of the Control Group.
The individual will be responsible for overseeing the firm’s Control Group which implements the firm’s MNPI Policy and related procedures, including monitoring information barriers, maintaining restricted lists and handling market pre-soundings and wall crossings, among other areas.
This role will also involve managing a team of compliance professionals and assisting with the drafting of policies and procedures as well as other compliance-related documents, communications, and reporting; implementing process enhancements; and conducting training and education.
This position requires a professional with diplomatic and analytical skills who can flourish in a challenging, fast-paced, and professional environment with frequent shifts in priorities as business needs dictate. Strong writing skills are required.
- Serve as central point of oversight and contact for Control Group, working closely with members of the Compliance Department globally to drive enhancement and ensure consistency globally;
- Manage a team of compliance professionals who are responsible for the various Control Group activities noted above;
- Draft policies, procedures, memos and internal and external communications;
- Identify processes for enhancement, such as those requiring institutionalization or automation;
- Work with various teams and departments including Legal, Portfolio Management, Client Facing, and Product Strategies to identify and address regulatory matters;
- Must take initiative in learning and applying new skills and regulations;
- Proactively respond to business and regulatory changes;
- Have a strong sense of integrity, behaving consistently with expressed values and ethical principles
- Minimum 8 years of regulatory compliance experience with a large and diverse investment management firm serving in a compliance function or within the investment management/regulatory practice at a top-tier law firm, focused on both registered 40 Act products and private funds
- An undergraduate degree is required, graduate degree or Juris Doctorate preferred
- Deep knowledge of securities laws applicable to insider trading and market abuse and knowledge of regulatory requirements applicable to US investment managers, including the Investment Advisers Act of 1940
- Strong background in fixed income, alternatives, derivatives, commodities and equity strategies offered in a variety of investment products including (i.e., open-end mutual funds, closed-end funds, ETFs, separate accounts and private funds)