The Compliance Officer will act as a generalist and assist and manage key compliance-related projects and initiatives, including those pertaining to training, testing, and designing, implementing and advising on policies and procedures. The Compliance Officer will work closely with senior and junior members of the team and help drive projects, manage business expansion and become a trusted advisor to the business
Core Responsibilities
Review regulatory developments and implement procedures to ensure platform compliance with all applicable rules and regulations
Assist with drafting policies and procedures and designing new compliance initiatives as compliance environment and business evolves
Review marketing and investor relations materials
Assist with transactional and counterparty KYC processes
Prepare for and respond to regulatory inquiries and examinations
Assist with compliance testing and surveillance
Prepare regulatory reports and testing documentation
Assist with regulatory reporting obligations (e.g., ADV, Form PF, AIFMD filings)
Identify, escalate and manage conflicts of interests across groups, both regionally and globally
Prepare and conduct ongoing compliance training for employees and new hires
What We Value
Ownership mentality and strong desire to learn new areas of the financial industry
Highly motivated, leads by example, and a team first attitude
Strong analytical and problem-solving skills
Commercial and Results Orientation
High Trust and Integrity
Strategic / Entrepreneurial Mindset
Strong combination of organizational and interpersonal/communication skills
Strong academic credentials
Preferred Qualifications
7+ years of relevant experience of broad-based regulatory/compliance experience, preferably with private fund experience
Bachelor's Degree; MBA and/or JD [optional]
Prior in-house experience at private fund investment adviser preferred
Previous experience preferably includes policy and procedure drafting and compliance testing
Strong written and oral communication skills
Detail-oriented, responsible and proactive
Deadline-oriented to meet time-sensitive contractual requirements
Adept at problem solving
Ability to handle multiple tasks simultaneously and work under pressure
Candidate must be self-motivated and willing to work in a team environment across multiple offices
Ideal candidate will be a team player, able to work collaboratively across different teams