<h3>Job Description</h3>
I’m working with a highly regarded Investment firm in New York that is looking to add a Senior Compliance Officer to its growing team.
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This is a hands-on role reporting directly into the CCO.
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The role will cover:
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<ul>\n
<li>Compliance monitoring, testing and surveillance</li>
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<li>Investment Advisers Act / SEC regulatory requirements</li>
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<li>Portfolio &amp; asset management compliance</li>
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<li>Alternative investments and private/pooled investment vehicles</li>
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<li>Client and investment management agreements</li>
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<li>Code of Ethics administration</li>
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<li>Third-party sub-adviser &amp; vendor oversight</li>
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<li>Electronic communications and social media review</li>
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<li>Policies, procedures and supervisory controls</li>
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<li>Supporting SEC examinations and the annual 206(4)-7 compliance review</li>
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Ideal background:
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<ul>\n
<li>Senior compliance experience within an investment adviser</li>
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<li>Strong Code of Ethics Experience</li>
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<li>Strong with AI within compliance functions</li>
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