Senior Compliance Officer

Working remotely, the full-time Senior Compliance Officer will manage compliance monitoring, audits, and reporting while collaborating with various departments to ensure adherence to investment regulations and internal policies. Key responsibilities Oversee daily compliance monitoring and address violations in real-time during trading activities Monitor potential investment policy breaches and ensure compliance with federal and state regulations Facilitate audits and prepare regulatory filings, ensuring accuracy and compliance with deadlines Required qualifications Deep understanding of securities trade lifecycle and various financial instruments Background in relevant compliance regulations, including the Investment Advisers Act and SEC reporting Experience with buy-side compliance software systems, such as Blackrock Aladdin Advanced degree in Business Management, Finance, or Economics preferred Professional certification (e.g., IACCP, CFA, CAMS) is a plus