Senior Compliance Officer
The Bachrach Group
Senior Compliance Officer Financial services New York , New York Permanent Feb 19, 2025 The Senior Compliance Officer will support the Alternative business. This includes investments in Direct Real Estate, Infrastructure Debt, and Private Credit. Create policies and procedures that adhere to federal securities laws, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, and the Commodity Exchange Act Maintain expertise in the regulatory environment and industry practices Ensure timely escalation, evaluation, investigation, and resolution of compliance issues Review and approve new product offerings Conduct annual risk assessments of business controls Collaborate with the senior management team on global and regional projects, including implementing regulatory requirements, conducting training sessions, and coordinating the annual risk assessment process Lead initiatives to implement best practices We are looking for: 7+ years of investment advisory compliance experience; expertise in Alternative products (direct real estate, private credit, and infrastructure) preferred. Bachelor's degree at a minimum is required; Advanced degrees including JD are preferred. Legal or compliance experience with knowledge of the Investment Advisers Act, Investment Company Act, and other regulations for investment management operations. NY Headquarters 1430 Broadway, 13th Floor New York, New York 10018 #J-18808-Ljbffr
Vacancy posted 3 days ago
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