A top global banking and financial services firm seeks a Compliance Manager for one of their asset management divisions. This role will be based with an Alternative Investments group.
This is a great opportunity for an energetic, solution-oriented asset management compliance professional. The company focuses on sub-investment grade corporate debt investment possibilities including Secured Loans, High Yield Bonds, Direct Lending & Mezzanine, Distressed Debt, Special Situations and Structured Credit. It would be great if you have this background, but it’s not mandatory.
What you will do:
• Assist the Chief Compliance Officer in analyzing, implementing and monitoring compliance with policies and procedures of the registered investment adviser.
• Review marketing and promotional materials pursuant to SEC regulations.
• Conduct and design tests of compliance policies and procedures pursuant to the Investment Advisers Act Rule 206(4)-7.
• Prepare and submit regulatory filings for corporate entities and funds.
• Provide advice to firm personnel regarding gifts, entertainment, political contributions and outside business activities.
• Effectively communicate regulatory and procedural changes to relevant personnel.
• Conduct ongoing compliance training of employees and orientation of new hires.
• Participate in business and compliance related projects.
• Dependably represent the Compliance Department by projecting integrity, honesty and competency while effectively communicating with management.
• Bachelor’s degree or the equivalent combination of education and experience is required.
• 5-7 years of total work experience preferred. Legal, Audit or Compliance background and/or experience with financial services compliance and/or experience with sub-investment grade corporate credit and the relevant laws, regulations and rules preferred.
• Anti-Money Laundering / Know Your Customer experience is a plus.
• Experience with Investment Advisers Act of 1940 is highly preferred.
• Self-Starter with the ability to manage challenging workflow in fast paced, dynamic organization, managing multiple assignments in a deadline driven environment.
Please email your resume to Jack Kelly at Jack@ComplianceSearch.com