Senior Associate, Compliance

Position Summary

The Legal and Compliance team seeks a full-time Senior Associate to report to the Chief Compliance Officer ( CCO ) and support the Company’s regulatory compliance reporting, testing and oversight functions.

Position Overview. This position will work closely with the CCO, Deputy Compliance Officer and outside compliance consultants to ensure proper oversight of the compliance program and its activities.

Specific responsibilities may include some or all of the following responsibilities :

• Assist with the development of ongoing policies, procedures and monitoring in accordance with applicable SEC, NYSE and other regulations.
• Perform routine and ad hoc compliance testing via the Company’s compliance testing software.
• Review personal trading and other activities requiring reporting and / or preclearance for all employees.
• Maintain detailed records of compliance activity.
• Assist with the development and running of regular and ad hoc compliance trainings.
• Assist with portfolio company due diligence related to compliance with AML / KYC policies and procedures.
• Assist with the management and oversight of recordkeeping and record destruction in accordance with applicable regulations.
• Work to ensure relevant regulatory filings, including NYSE Affirmations, Form ADV, Form PF and other filings, are submitted appropriately.
• Respond to issues and questions identified by employees, compliance software models and / or outside compliance consultants.
• Assist with the preparation of compliance and risk reporting to the board of directors.
• Support the annual review of the compliance program in accordance with Rule 38a-1 of the 1940 Act and Rule 206(4) of the Advisers Act.
• Assist with compliance assurance matters and examination readiness.
• Communicate to the Chief Compliance Officer any identified issues and risks that need to be addressed.
• Work on long term projects aimed at strengthening the compliance program.

General Qualifications

• Bachelor’s degree and 4 6 years of relevant experience at an asset manager, law firm or compliance consultant.
• Working knowledge of regulatory compliance, with preference for 1940 Act / Advisers Act regulation.
• Capacity to professionally handle highly confidential and sensitive information.
• Dedicated team player with a strong sense of ownership, self-assuredness, and follow-through skills.
• Capacity to professionally handle highly confidential and sensitive information.
• Detail-oriented, conscientious and energetic professional with the ability to think creatively.
• Strong written communication skills.
• Ability to prioritize responsibilities and work under deadlines in a fast-paced, high-growth, entrepreneurially-oriented work environment.
• Strong written communication skills.
• Excellent organizational and time management skills; ability to prioritize multiple projects with high attention to detail and adaptability.
• Customer service orientation with strong interpersonal skills with the capacity to interact with outside parties and personnel across all levels of the firm.
30+ days ago