Compliance Officer
Candidate must have experience in the daily compliance functions of an SEC-registered investment adviser with significant experience in the review of performance information and track records and the drafting of policies and procedures.
Candidate will assist in creating, testing and revising procedures to ensure that the firm is in compliance with applicable laws and regulations. Candidate must be with familiar the Investment Advisers Act of 1940 and related SEC regulations. Candidate will assist in preparing for SEC examinations and coordinate with internal groups in the collection of audit requests. Candidate will also be expected to become familiar with aspects of certain foreign regulators. Candidate will report to our Director of Compliance.
Necessary Qualifications:
• BA/BS and 3+ years of compliance experience or equivalent combination of training and experience • Broad understanding of investment adviser industry • Proven communication and analytical skills • Proficient with Microsoft Office applications • Must be proactive, self-starter and able to interact with people who have varied personalities and work styles
Preferred:
• Knowledge of foreign regulators / investment adviser regulations (FSA, SFC, CVM) • General understanding of the private equity industry • Experience with electronic compliance programs (Financial Tracking) • Internal audit background or previous experience working for the SEC
To apply please submit your resume to:
Jack Kelly
JKelly@ComplianceSearch.com
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