Compliance Officer
Job Title: Compliance Officer
Location: New York City (Hybrid On-Site)
Salary: Up to $200K Base + Bonus
Industry: Asset Management
About the Role:
Our client, a leading asset management firm based in New York City, is seeking a highly skilled and detail-oriented Compliance Officer to join their team. This hybrid on-site position offers the opportunity to play a key role in overseeing regulatory filings and ensuring compliance with industry standards. The ideal candidate will bring strong experience in regulatory filings (e.g., ADV, PF, 13F, TIC) and a comprehensive understanding of asset management compliance requirements. Experience with Canadian filings is highly preferred but not mandatory.
Key Responsibilities:
- Manage and prepare regulatory filings, including Form ADV, Form PF, Form 13F, TIC reports, and other required submissions.
- Monitor and ensure adherence to relevant regulatory requirements, policies, and procedures.
- Support the development, implementation, and maintenance of compliance programs and internal controls.
- Stay current on regulatory changes and industry best practices, providing guidance to senior leadership on potential impacts.
- Assist with internal audits and regulatory examinations related to filings.
- Collaborate with departments such as Legal, Finance, and Operations to ensure comprehensive compliance with applicable laws and regulations.
- Provide guidance and training on compliance matters related to regulatory filings and reporting requirements.
Qualifications:
- 3-5 years of experience in a compliance role, preferably within asset management.
- In-depth knowledge of regulatory filings, including ADV, PF, 13F, and TIC.
- Experience with Canadian regulatory filings is highly desirable.
- Strong understanding of U.S. Securities and Exchange Commission (SEC) regulations and compliance frameworks.
- Excellent attention to detail and organizational capabilities.
- Strong communication and collaboration skills, with an ability to work cross-functionally.
- Capacity to manage multiple priorities and deadlines in a fast-paced environment.
- Bachelor's degree in Finance, Business, or a related field (preferred).
Compensation and Benefits:
- Competitive base salary of up to $200K, depending on experience.
- Discretionary bonus structure.
- Comprehensive health and wellness benefits.
- Generous vacation and paid time off.
- Flexible hybrid work environment, allowing both remote and on-site work.
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