Senior Compliance Officer

Senior Compliance Officer

We are seeking a compliance officer to join our growing team. This position is starting on a temporary basis with the possibility of converting permanent. This role is onsite in midtown Manhattan 5days per week.

Essential Job Functions

• Support the day-to-day operations of an SEC-registered investment adviser managing a diverse platform across both public market strategies (e.g., equities, fixed income) and private market strategies (e.g. venture capital)
• Support the implementation and ongoing maintenance of the firm’s compliance program in accordance with SEC regulations
• Support the preparation and filing of regulatory documents (e.g., Form ADV, Form PF, 13F, Form D)
• Assist in the reviewing and testing of compliance policies and procedures, certifications, and questionnaire responses in line with regulatory changes and industry developments
• Monitor and oversee personal trading surveillance and electronic communications reviews to ensure adherence to the firm’s Code of Ethics requirements
• Review and provide feedback on RFPs, DDQs, marketing materials, and client communications to ensure compliance with regulatory requirements and firm policies
• Coordinate AML/KYC verifications for clients, counterparties, and other relevant parties across multiple jurisdictions
• Provide support in connection with regulatory examinations and internal/external audits
• Perform compliance-related duties and special projects as assigned
• Deliver regular compliance training across the firm, conduct onboarding compliance procedures for all new employees
• Work closely with the Chief Compliance Officer, senior management, and functional heads to ensure that regulations and firm policies are well understood across the organization and incorporated into workflow
• Help to limit the firm’s regulatory and reputation risk, reinforce the firm’s culture of compliance

Education and Experience

• Bachelor’s degree required; JD is a plus but not required for this role
• 8-10+ years of relevant compliance experience
• Strong understanding of the investment adviser/investment management industry and U.S. regulatory frameworks
• Proficiency in compliance surveillance tools and systems (e.g., Bloomberg, ComplySci)

Knowledge, Skills and Abilities

• Excellent written and verbal communication skills
• Detail-oriented with strong follow-up skills
• Strong organizational, problem-solving, and analytical abilities
• Ability to work independently on assigned responsibilities, as well as with staff members at all levels
• Proficiency in Microsoft Suite (e.g., Excel, Word, PowerPoint)