A $70b aum global investment firm located in Manhattan is looking to hire a VP Compliance Officer. This is a growth hire to support the expansion of their business and will be responsible for performing daily activities to promote the further enhancement of the firm's compliance program.
Responsibilities:
- Manage the firm's overall compliance program including drafting and implementing policies and procedures as well as administering compliance training
- Handle regulatory filings including but not limited to ADV, Form PF, and HK SFC filings
- Review and maintain the firm Code of Ethics policy including political contributions, personal trading activity, and outside business activity
- Conduct internal policy and procedure review and forensic testing
- Assist with transactional and counterparty KYC processes
- Assist with the review and approval of marketing materials
- Assist with the compliance testing and surveillance programs
Requirements:
- Bachelor's Degree; Juris Doctor is a plus
- 6-12 years of experience in the investment management industry
- Strong working knowledge of the Investment Advisors Act of 1940 other SEC rules and regulations
- In-house experience at private fund investment adviser is highly preferred
