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)