Serve as a thought leader on compliance matters, including AI, cybersecurity and data privacy
Assist in the management of all aspects of the compliance program including onboarding and offboarding employees into the compliance system, and address employee questions around the Code of Ethics
Maintain all records of compliance regarding pre-clearance approvals and marketing reviews
Manage compliance operations related to marketing reviews, pre-clearance approvals and recordkeeping
Provide dedicated compliance support to the firm and partner with external regulatory advisers
Support preparation and response efforts for SEC audits and other regulatory inquiries
Support the annual compliance review and back test different compliance policies; continually assess the compliance policies and procedures, and drive implementation of policy enhancements
Collaborate closely with the Accounting & Portfolio Management teams on regulatory reporting requirements
Leverage data analytics to identify trends, gaps and opportunities for program improvement
Other duties as assigned

Requirements

Working knowledge of the Advisers Act, insider trading, anti-money laundering laws, anti-bribery and corruption rules, and conflicts of interest
Experience managing SEC audits and regulatory communications
Fluency with the FINRA IARD system and SEC filings including Form ADV and Form PF
Expertise with the EDGAR system and Form D filings
Highly organized, proactive, solutions-oriented thinker, with a passion for compliance and helping a growing firm navigate evolving rules and regulations
Strong communication, interpersonal, and collaboration skills
5+ years of advanced compliance experience at a financial services firm
Expertise with the FINRA IARD system to input annual Form ADV and Form PF
Knowledge with compliance monitoring systems, such as ComplianceAlpha or ComplySci and technology solutions
Experience with private equity, fund management, and/or real estate strongly preferred

Benefits

Medical
Financial
Wellness programs
Generous discretionary bonus

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools

compliance managementdata analyticsSEC auditsregulatory reportingcompliance monitoring systemsinsider trading lawsanti-money laundering lawsanti-bribery rulesconflicts of interestcompliance policy enhancement

Soft Skills

highly organizedproactivesolutions-orientedstrong communication skillsinterpersonal skillscollaboration skills