Compliance Officer

Purpose of the role

This role is based in the Compliance team in New York and will work as part of the team under the direction of the Head of Compliance. The Compliance team serves as a second line of defense, and this role involves monitoring and challenging compliance with the company’s rules, regulations, and policies, including collaborating with other departments within the company to develop and maintain appropriate systems and controls.

Specific responsibilities

The role encompasses many aspects of compliance, including:

• Performing the necessary compliance functions in coordination with and under the direction of the Chief Compliance Officer
• Support for new product launches and serving as a point of contact for behavioral issues
• Assistance with the development, review, and updating of compliance policies and procedures
• Conducting regulatory reviews of new and existing rules and their impact on the company
• Support for the development and resource allocation of the compliance monitoring program
• Support in collaborating with other departments to facilitate the ongoing review of regulatory requirements
• Assistance in resolving compliance-related issues
• Assistance with the preparation of regulatory submissions (ARS and others)
• Assistance in preparing responses to regulatory audits and reviews
• Providing support for other compliance-related matters that arise and for all projects
• Responding to Ad Hoc Compliance Questions

Qualifications

• A solid foundation and a strong understanding of the Investment Advisers Act of 1940, ERISA, and the NFA/CFTC
• In-depth familiarity with one or more relevant departments (e.g., investment management, fund administration)
• In-depth working knowledge of the rules and requirements of the Investment Advisers Act of 1940, ERISA, and the NFA/CFTC
• Self-motivated with exceptional organizational, communication, and interpersonal skills
• Ability to work in a busy environment and handle multiple tasks simultaneously, both independently and as part of a team
• Ability to navigate and learn new systems

Compensation and benefits

The expected base salary range for this position is $150,000–$200,000 USD. The compensation package also includes benefits and other discretionary elements. Our comprehensive benefits package includes:

• Supplemental Short-Term and Long-Term Disability Insurance
• Group sickness benefit
• Extended Parental Leave and Long-Service Leave
• Depending on your location, you may also be eligible for additional benefits such as private health insurance, discounted gym memberships, and reimbursement for internet service