Senior Vice President, Compliance Officer
Confidential
Senior Vice President, Compliance Officer
About the Company
Internationally acclaimed fixed-income investment management firm
Industry
Investment Management
Type
Privately Held
Founded
1971
Employees
1001-5000
Categories
- Banking
- B2B
- Consulting & Professional Services
- Enterprise
- Investment Management
- Asset Management
- Asset Management Companies
- Asset Management Firms
- Asset and Fund Management
- Brokerage
- Economics
- FOREX
- Finance
- Hedge Funds
- Investment Banking
- Investment Management Companies
- Investment Management Company
- Investment Management Firm
- Investment Management Firms
- Investment Management Services
- OPEC
- Other Investment Firms
- Financial Services
- Crowdfunding
- Venture Capital
Business Classifications
- B2B
- Enterprise
About the Role
The Company is a global leader in active fixed income with a strong focus on public and private markets. They are seeking a Senior Compliance Officer to join their global compliance team, with a specific emphasis on the U.S. Registered Funds 38a-1 compliance program. The role involves providing direct support to various types of registered funds, including closed-end funds, interval funds, and business development companies. The successful candidate will be responsible for implementing and adapting the compliance program to meet new regulatory requirements, conducting annual reviews of compliance policies, and procedures, and assisting in the oversight of the fund's service providers. Applicants for this role at The Company should have a Bachelor's degree or equivalent, with a JD considered a plus, and several years of relevant experience in a major financial services firm or global asset manager. A strong background in 40 Act products, such as closed-end funds, interval funds, or business development companies, is essential. The ideal candidate will have comprehensive knowledge of the regulatory frameworks applicable to U.S. investment managers and broker-dealers, including the Investment Company Act of 1940 and FINRA rules. Strong analytical skills, attention to detail, and the ability to balance regulatory requirements with business perspectives are also required. The role demands a team-oriented individual with a global mindset, cultural sensitivity, and proficiency in the MS Office suite.
Hiring Manager Title
Vice President, Senior Compliance Officer
Travel Percent
Less than 10%
Functions
- Finance
- Strategy
Vacancy posted 1 day ago
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