Attorney in New York City, NY

In-House

New York City, NY

Attorney in New York City, NY

Non-practicing Attorney

5-10 yrs required

No

Job Title: Senior Compliance Officer

Job Responsibilities:
- Provide direct support to the . registered funds compliance program, which includes maintaining regulatory risk assessments, administering Board-approved policies and procedures, compliance monitoring, executing the annual review, drafting and producing periodic Board reporting, and overseeing relevant service providers.
- Implement and adapt the compliance program to accommodate new and evolving regulatory requirements.
- Maintain an understanding of investment company, broker-dealer, and investment advisory compliance regulatory focus areas, and their relevance to . Registered Funds.
- Develop and oversee the . Registered Funds compliance program under the oversight of the Fund Chief Compliance Officer (CCO), ensuring adherence to policies, procedures, and federal securities laws.
- Administer the US Registered Funds' compliance program, including unique aspects related to ETF, BDC, and co-investment transaction exemptive relief granted by the SEC.
- Conduct annual reviews of the Funds, Adviser, and limited purpose broker-dealer compliance policies and procedures.
- Participate in the Fund’s risk assessment and annual review program, partner on relevant changes to the annual regulatory risk assessment, draft testing plans, execute testing leveraging existing test plans, and identify observations based on the results of the annual review.
- Assist in the oversight of the Funds’ affiliated and third-party service providers, which includes conducting due diligence, identifying and monitoring risks and controls, and documenting issue resolution.
- Experience in drafting and coordinating executive-level reporting to the Board of Independent Trustees, including standard quarterly reports and the Annual Written Report of the Fund CCO.
- Collaborate with various stakeholders to address regulatory matters, including external counsel and stakeholders in other departments.
- Demonstrate initiative, integrity, and a commitment to the company's values and ethical principles.

Education and Experience:
- Bachelor's degree or equivalent required; a JD or advanced degree is notable.
- Several years of relevant experience in a major financial services firm or global asset manager, focusing on ’40 Act products.
- Demonstrated experience managing people and processes is required.
- Comprehensive knowledge of regulatory frameworks applicable to . investment managers and broker-dealers, including familiarity with the Investment Company Act of 1940, Investment Advisers Act, and FINRA rules.
- A solid background in various investment strategies, including fixed income, alternatives, derivatives, commodities, and equity, across different investment products.
- Strong analytical skills and attention to detail, with an independent and collaborative work ethic.
- Self-starter that is process-oriented and operates with a creative mindset.
- Exceptional organizational abilities, capable of prioritizing tasks, operating in a risk-based efficient manner, meeting deadlines, and adapting to changing business needs.
- Strong communication, presentation, writing, and analytical skills, with the ability to think critically and balance regulatory requirements with business perspectives.
- Team-oriented with a global mindset, cultural sensitivity, and proficiency.

Salary Information:
- Salary Range: $215, - $260,
- The company follows a total compensation approach, including a base salary and a discretionary bonus. Base salary is determined by core job responsibilities, relevant experience, internal level, and market factors. The discretionary bonus is based on company, business, team, and individual performance.

Equal Employment Opportunity and Affirmative Action Statement:
The company recruits and hires qualified candidates without regard to race, national origin, ancestry, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), sexual orientation, gender (including gender identity and expression), age, military or veteran status, disability (physical or mental), any factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity and affirmative action, in accordance with all applicable federal, state, provincial, and municipal laws. The company also prohibits discrimination on other bases such as medical condition or marital status under applicable laws.

Applicants with Disabilities:
The company is an Equal Employment Opportunity/Affirmative Action employer. It provides reasonable accommodation for qualified individuals with disabilities, including veterans, in job application procedures. If you have any difficulty using the online system due to a disability and would like to request an accommodation, you may contact the dedicated line designed exclusively to assist job seekers with disabilities to apply online. Only messages left for this purpose will be considered. A response to your request may take up to two business days.