Senior Compliance Officer
Blacklock Group
I'm working with a highly regarded Investment firm in New York that is looking to add a Senior Compliance Officer to its growing team.This is a hands-on role reporting directly into the CCO.Scroll down to find the complete details of the job offer, including experience required and associated duties and tasks.The role will cover:Compliance monitoring, testing and surveillanceInvestment Advisers Act / SEC regulatory requirementsPortfolio & asset management complianceAlternative investments and private/pooled investment vehiclesClient and investment management agreementsCode of Ethics administrationThird-party sub-adviser & vendor oversightElectronic communications and social media reviewPolicies, procedures and supervisory controlsSupporting SEC examinations and the xhyhwjd annual 206(4)-7 compliance reviewIdeal background:Senior compliance experience within an investment adviserStrong Code of Ethics ExperienceStrong with AI within compliance functions
Vacancy posted 6 hours ago
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