Senior Compliance Officer
Full-time
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.
The role will cover:
- Compliance monitoring, testing and surveillance
- Investment Advisers Act / SEC regulatory requirements
- Portfolio & asset management compliance
- Alternative investments and private/pooled investment vehicles
- Client and investment management agreements
- Code of Ethics administration
- Third-party sub-adviser & vendor oversight
- Electronic communications and social media review
- Policies, procedures and supervisory controls
- Supporting SEC examinations and the annual 206(4)-7 compliance review
Ideal background:
- Senior compliance experience within an investment adviser
- Strong Code of Ethics Experience
- Strong with AI within compliance functions
Vacancy posted 15 hours ago
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