Senior Compliance Officer

Full Time

Madison-Davis Client

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.

Job Responsibilities

  • Support the development and implementation of the investment adviser compliance program, working closely with members of the Compliance Department globally to drive enhancement and ensure consistency globally
  • Handle regulatory compliance aspects of alternatives/private funds business
  • Draft policies, procedures, memos and internal and external communications
  • Identify and address situations involving conflicts of interest
  • Work with various teams and departments including Legal, Portfolio Management, and client facing teams to identify and address regulatory matters
  • Must take initiative in learning and applying new skills and regulations
  • Proactively respond to business and regulatory changes

Job Requirements

  • 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
  • General knowledge of regulatory requirements applicable to US investment managers and broker-dealers, 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)

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