Attorney in Newport Beach, CA

In-House

Newport Beach, CA

Attorney in Newport Beach, CA

Non-practicing Attorney

No

Job Title: SVP, Senior Compliance Officer - Alternatives

Job Responsibilities:
- Support the development and implementation of the company's investment adviser compliance program, ensuring global consistency and enhancement in collaboration with the Compliance Department.
- Oversee regulatory compliance aspects specifically related to the alternatives and private funds business.
- Adapt the compliance program to meet evolving business needs and regulatory changes.
- Draft and implement various compliance-related policies, procedures, memos, and communications.
- Engage in the risk assessment and testing program for advisers and private funds, which includes developing risk matrices, documenting testing plans, executing policy testing, and identifying enhancements.
- Identify and manage conflicts of interest situations.
- Collaborate with various teams such as Legal, Portfolio Management, Operations, and client-facing teams to address regulatory matters.
- Maintain a comprehensive understanding of compliance policies relevant to the investment adviser, investment company, and broker-dealer sectors.
- Demonstrate initiative in learning and applying new skills and regulations while upholding the company's values and ethical principles.

Education and Experience Information:
- A Bachelor’s degree or equivalent is required; a graduate degree or Juris Doctorate is preferred.
- Several years of relevant experience in a major financial services firm or global asset manager, with a focus on private funds and alternative strategies.
- Comprehensive knowledge of . regulatory frameworks applicable to investment managers and broker-dealers, including familiarity with the Investment Advisers Act of 1940, Investment Company Act of 1940, and FINRA rules.
- Solid background in various investment strategies, including fixed income, alternatives, derivatives, commodities, and equity across different investment products.
- Excellent problem-solving, communication, and presentation skills, along with the ability to articulate ideas and strategies clearly.
- A critical thinker and quick learner with the ability to generate new insights and ideas.
- Service-oriented with a balance between regulatory standards and business perspectives.
- Exceptional organizational skills and the ability to prioritize tasks, follow up, produce accurate work, and meet deadlines.
- Highly flexible and able to adapt to rapidly changing business demands.
- Team-oriented with a global mindset and cultural sensitivity, proficient in MS Office suite.

Salary Information:
- Salary Range: $215, - $260,
- The compensation approach includes a base salary and a discretionary bonus, which is determined by core job responsibilities, relevant experience, internal level, market factors, and performance at company, business, team, and individual levels.

Equal Employment Opportunity and Affirmative Action Statement:
The company is committed to recruiting and hiring qualified candidates without regard to race, national origin, ancestry, religion, sex, sexual orientation, gender, age, military or veteran status, disability, or any other factor prohibited by law. The policy promotes equal employment opportunity and affirmative action in accordance with federal, state, provincial, and municipal laws. Discrimination based on medical condition or marital status is also prohibited under applicable laws.

Applicants with Disabilities:
The company provides reasonable accommodation for qualified individuals with disabilities, including veterans, in job application procedures. If assistance is needed, applicants can contact the company for support.