Compliance Officer, Finance & Banking

About The Company

Our client is a global investment firm with over $140 billion in AUM. The firm invests across a diverse range of strategies and asset classes, with a mix of long and alternative strategies across liquid and private markets.

• Conduct compliance monitoring including Rule 38a-1 testing and maintain test documentation and deliverables
• Schedule and conduct interviews with internal departments and external vendors as part of 38a-1 requirements
• Draft written reports containing results of compliance monitoring and Rule 38a-1 testing for senior management
• Assist in reviewing and compiling regulatory filings
• Assist in ensuring new fund registrations are made appropriately
• Maintain 15c adviser and sub-adviser library
• Respond to compliance questions, draft, and maintain policies and procedures
• Assist with the review of fund marketing materials

• Bachelor’s degree required
• 3-5 years of compliance experience at a financial services firm
• Working knowledge of U.S. mutual fund structures and compliance requirements under the Investment Company Act of 1940
• Ability to review regulatory documentation and provide concise analysis
• Strong research skills

$130,000 – $140,000