Compliance Officer

NYC or Miami based - Leading global private investment firm, >40B AuM, is looking to add to their growing team! Primary Responsibilities Review pitch decks and advertisements subject to the SEC Marketing Rule in accordance with regulatory guidance provided by both the Commission and the research of firm's attorneys. Collaborate with internal stakeholders to update and publish Firmwide policies and procedures. Assist in the development and administration of the Firm’s Vendor Management program for the onboarding of third-parties. Administer Code of Ethics (such as the Firm’s Personal Trading Policy, Gifts & Entertainment Policy, and Political Contributions Policy) utilizing our third-party compliance software, ComplySci. Qualifications 3–8 years of relevant compliance experience, with at least 2+ years of in-house at a registered investment adviser, hedge fund, asset manager, or investment bank. Bachelor’s degree (or equivalent) in a related field. Work Ethic & Independence: operational excellence who takes pride in formulating best‑in‑class compliance infrastructure & a strong understanding of ‘value‑add compliance’. Collaboration: Demonstrated respect for colleagues and ability to work cross‑functionally. Communication: Exceptional written and verbal communication skills; capable of drafting policies and procedures with oversight from a Compliance Attorney. Tech Savy: a successful candidate will have previous experience with ComplySci and the ability to use Microsoft Word, Excel, and PowerPoint proficiently. #J-18808-Ljbffr