We are currently seeking Senior Compliance Officer provides expertise in the oversight and testing of compliance with matters related to investment adviser and investment company compliance under the direction of the Chief Compliance Officer (“CCO”) and Deputy CCO.
Essential Functions:
1. Supervise the testing of compliance by the Firm and its affiliates, Fund sub-advisors and service providers regarding all clients as required to ensure compliance with Firm and Fund compliance policies and procedures;
2. Coordinate and review quarterly compliance reporting to the CCO and the Board of Trustees;
3. Provide ongoing review of Fund and Firm compliance policies and procedures and propose revisions as needed to the CCO;
4. Partner with all business units to identify key risks and drive the development, documentation and improvement/revision of compliance policies and procedures;
5. Review new rules and regulations and assist in the design of relevant business unit procedures and compliance oversight testing of such procedures;
6. Assist in the preparation and presentation of ongoing training on compliance policies to Compliance personnel;
7. Consult on various compliance-related questions and issues, as necessary; and
8. Assist in other compliance-related matters as directed by the CCO.
Knowledge/Education Requirements
Bachelor’s degree required
Working knowledge of SEC rules is required, including Investment Company Act of 1940 and Investment Advisers Act of 1940
Knowledge of Microsoft Office preferred
Experience with eGRC tools, preferably LogicManager
Five to ten years prior experience in securities compliance is required and 1940 Act experience preferred. Prefer recent experience with registered investment adviser and/or investment company compliance in mid-level position.
Series 7 required. Series 24 a plus.
Skills
Attention to detail and ability to handle sensitive information on a confidential basis are critical. Candidate must have exceptional written and oral communication skills. Self-motivation, initiative, ability to multi-task and work independently at a high level are required. Problem-solving skills, leadership skills, ability to think critically and ability to exercise professional judgment in a confident manner are required.
Job Type: Full-time
Benefits:
- 401(k)
- 401(k) matching
- Dental insurance
- Employee assistance program
- Employee discount
- Flexible spending account
- Health insurance
- Health savings account
- Life insurance
- Paid time off
- Parental leave
- Referral program
- Retirement plan
- Vision insurance
Physical Setting:
Schedule:
Experience:
- Securities Compliance: 5 years (Required)
License/Certification:
Work Location: In person
