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Years of Experience
Date Last Verified
Compliance Analyst, Officer The candidateâ€™s responsibilities include performing ongoing due diligence on third party providers including alternative managers, monitoring compliance with federal securities law, and drafting summary memorandum and board reports for the Registered Funds CCO. This role will involve working with individuals throughout companyâ€™s global operations, as well as with senior level individuals at partner organizations. Will cover additional projects as needed to help execute the strategic direction of the department. Perform initial and ongoing due diligence activities for Private Equity and Real Estate direct deal investments to assess infrastructure and effectiveness of Compliance Program. Perform periodic due diligence activities such as the review of due diligence questionnaires and certifications for OCIO external managers. Analyze findings for materiality, trends, and significant process design and operating deficiencies. Communicate findings from oversight activities to the Registered Funds Chief Compliance Officer and/or a delegate or pertinent Committees via summary memorandum or reporting. Perform reviews of background checks pertaining to Private Equity and Real Estate direct investments. Identify and escalate material findings. Manage annual and new hire certification process for Real Estate Investment Team. Manage Information Wall memo process and restricted securities watchlist; prepare and present quarterly summaries. Assist companyâ€™s Registered Funds CCO Office Team with preparation of Board materials. Monitor compliance with the Global State Street Mobile Communication Device Policy within Designated Trading Floor Areas. Manage and respond to Regulatory Examinations and Inquiries. Identify, evaluate and test controls that support various regulatory requirements. Maintain periodic communications with Operational Due Diligence (ODD) and Alternative Investments Teams. Provide guidance to business partners on internal initiatives and product launches.
Qualification and Experience
The candidate should have a Bachelorâ€™s degree. Juris Doctor, MBA, or 2 - 4 years of experience. Strong analytical, reading and writing skills with an acute attention to detail a must. Knowledge of the Alternative Investments, the Investment Advisers Act of 1940 and the Investment Company Act of 1940 is a plus. Demonstrated organizational skills, including being able to balance multiple tasks. Ability to maintain sensitive information. Ability to work both independently and collaboratively. Proficient in Microsoft Word, Excel and PowerPoint. Should be able to synthesize disparate information and react quickly to new data presented.
Requisite no - R-589243
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