Apply for the Senior Compliance Officer position
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Office Status: Hybrid (4 days per week in office)
Responsibilities:
- Lead efforts to draft, maintain and implement compliance policies and procedures; responsible for ongoing maintenance of Global Compliance Manual
- Coordinate global regulatory filings, including, among others: Form ADV, Form PF, CPO-PQR; FCA and SFC-related filings
- Lead response to inquiries and exams by regulators, including SEC and NFA / CFTC
- Manage annual 206(4)-7 Compliance Review; assist in ongoing compliance testing and monitoring
- Monitor and maintain Regulatory Radar tracker related to pending rules and regulations applicable to the firm; lead efforts to update compliance program in advance of such changes
- Provide real-time trade compliance advice across investment teams
- Advise on U.S. and non-U.S. marketing of commingled private funds
- Assist with cybersecurity initiatives
- Help build annual compliance training program