Compliance Officer

We're currently partnering with a US asset manager to recruit a new Associate Director for their Compliance team. The successful candidate will own real Compliance work across the registered investment adviser, the registered investment companies, broker-dealer, and CFTC/NFA obligations. This is a newly created role and an exceptional opportunity for a candidate to take on a broader role with real ownership and responsibility for an established and growing Asset Manager.

Key Responsibilities:

• Build and run the annual review programmes across the RIA (Rule 206(4)-7), the registered funds (Rule 38a-1), the broker-dealer and CFTC/NFA as they transition in-house
• Conduct forensic testing and monitoring, and write the memoranda that sit behind the findings
• Draft and revise policies and procedures, implement changes in response to testing results or regulatory change, and deliver the associated training
• Investigate, resolve and document compliance issues, reporting into senior management and the funds' board of directors
• Run third-party service provider due diligence, including on-site reviews and analysis of internal control reports
• Administer the intermediary oversight programme for the open-end fund distribution network
• Support Form ADV, FINRA and CFTC filings and fund disclosure documents, with rotating ownership of code of ethics and personal trading reviews and e-communications surveillance

Experience Required:

• Compliance experience from a boutique or mid-sized asset manager, hedge fund, alternatives firm, third-party compliance consultancy, or an investment management law firm
• Hands-on involvement in the Rule 206(4)-7 and Rule 38a-1 annual review cycle
• Applied knowledge of the Advisers Act and Investment Company Act
• Familiarity with CFTC/NFA requirements as they apply to advisers and registered funds
• Regulatory filings and disclosure drafting experience
• Series 7 and 24 preferred but not required — supported to sit within 12–18 months
• Degree educated;
  JD/Legal background notrequired but preferred
• Strong communication - verbal and written - and ability to build relationships with senior stakeholders across the business

For more information simply apply to this advert with your updated CV or message me directly at View email address on click.appcast.io

We are committed to equal opportunity and welcome applications from all qualified candidates regardless of race, colour, religion, sex, sexual orientation, gender identity, national origin, age, disability, veteran status, or any other protected characteristic. All applications will be assessed solely on merit, skills and experience.