Compliance Officer

About the Company: Our client is a global investment firm with over $140 billion in AUM. The firm maintains a diversified investment platform across multiple asset classes, incorporating long and alternative strategies in both liquid and private markets.

Responsibilities

Conduct compliance monitoring including Rule 38a-1 testing and maintain test documentation and deliverables; Schedule and conduct interviews with internal departments and external vendors as part of 38a-1 requirements; Draft written reports containing results of compliance monitoring and Rule 38a-1 testing for senior management; Assist in reviewing and compiling regulatory filings; Assist is ensuring new fund registrations are made appropriately; Maintain 15c adviser and sub-adviser library; Respond to compliance questions, draft, and maintain policies and procedures; Assist with the review of fund marketing materials

Requirements

Bachelor’s degree required; 3-5 years of compliance experience at a financial services firm; Working knowledge of U.S. mutual fund structures and compliance requirements under the Investment Company Act of 1940; Ability to review regulatory documentation and provide concise analysis; Strong research skills