Senior Compliance Officer
Jobrapido
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 3 days ago
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