Job Description
Compliance Officer – Asset Management
Seeking an experienced Compliance Officer to support the administration and implementation of regulatory compliance programs for a leading asset management organization.
Key responsibilities:
- Conduct compliance testing, monitoring, and risk assessments
- Review and enhance policies, procedures, and compliance manuals
- Investigate and document compliance issues and regulatory matters
- Support regulatory filings, examinations, audits, and board reporting
- Conduct third-party and intermediary due diligence
- Assist with personal trading and employee communications reviews
- Partner with business teams and senior leadership on regulatory requirements
Qualifications:
- Bachelor’s degree with 4–6 years of relevant compliance experience
- Strong knowledge of the Investment Advisers Act and Investment Company Act
- Familiarity with FINRA, CFTC, FCA, and related regulatory requirements
- Series 7 and 24 preferred
- Excellent communication, writing, organizational, and project management skills
