Senior Compliance Manager

Job Description

  Senior Compliance Manager

Full Time (ON-SITE)

Location: Stamford, CT

ARGA Investment Management, LP is an independent investment management firm, registered with the US Securities and Exchange Commission and focused on global equities. ARGA has offices in Stamford, CT, USA, India, Hong Kong and the UK. Our employees share a common spirit of unquestionable integrity, excellence and strong team ethic with the ultimate goal of providing superior service to our clients. For more information, visit

Responsibilities

We seek a motivated and dedicated compliance professional to join the compliance department in our Stamford, CT, office. This individual will ensure the effectiveness of the firm’s compliance program and enforce the firm’s policies and procedures to ensure compliance with SEC regulations and other legal obligations. This is a hands-on role requiring direct involvement in day-to-day compliance activities, not solely a supervisory position. The successful candidate will be expected to execute compliance work directly while also providing oversight and leadership to the team. This individual will report directly to the Chief Compliance Officer.

Responsibilities include but are not limited to:

·       Develop, draft and maintain compliance policies and procedures

·       Create and deliver compliance training

·       Perform regular reviews and testing (daily, quarterly, annual) across all compliance areas

·       Construct/maintain compliance rules in Order Management System

·       Complete regulatory filings (Section 13, Form PF, Form ADV, etc.)

·       Review/approve marketing materials and RFPs to ensure compliance with the SEC Marketing Rule

·       Assist with regulatory examinations, audits and inquiries

·       Analyze new or amended laws, rules and regulations in order to formulate practical solutions for implementation to ensure compliance in all jurisdictions where the firm operates

·       Coordinate with internal stakeholders to ensure new business initiatives meet regulatory requirements

·       Assist with ad hoc projects and assignments

Qualifications

·       Minimum 5-8 years of direct compliance experience at a registered investment adviser or hedge fund.

·       Solid knowledge of Investment Advisers Act of 1940, the Investment Company Act of 1940, SEC regulations and the standards relevant to registered investment advisers.

·       Solid knowledge of SEC rules, including the SEC Marketing Rule.

·       Excellent verbal and written communication skills.

·       Strong attention to detail and organizational abilities in a global context.

·       Ability to handle multiple tasks simultaneously and work in a fast-paced environment.

·       Exercise poise, integrity and discretion at all times.

Please send your resume to View email address on ziprecruiter.com.

References are required.

Candidates with no relevant experience at a registered investment adviser or hedge fund will not be considered.

ARGA is an equal opportunity employer. ARGA recruits, employs, trains, compensates and promotes regardless of race, religion, color, national origin, sex, disability, age, veteran status, and other protected status as required by applicable law. We are focused on equality and believe our deep commitment to diversity enhances our uniqueness.