Compliance Officer recruitment
This is a highly unique opportunity to join the Legal and Compliance Department of a leading, publicly-traded, SEC-registered investment adviser (operating in multiple foreign jurisdictions) with more than forty billion dollars in assets under management. Fortress business lines include hedge funds, private equity funds, publicly-traded real estate investment trusts and traditional asset management. The position will be based in Manhattan.
The successful candidate will work with other members of the Fortress Compliance Department and businesses around the firm on, among other things, the following major items:
- Reviewing investor relations related materials, including pitch books, due diligence questionnaires, private placement memoranda, investor letters, and investor conference materials, etc., to ensure adherence with applicable rules and regulations;
- Conducting specific compliance reviews relating to a variety of compliance and regulatory topics to ensure the adequacy of the Firm’s compliance program and recommending changes and enhancements to the program, as needed;
- Assisting other members of the compliance department in the monitoring and implementation of procedures to address new regulatory rules and requirements;
- Reviewing policies, procedures and controls relating to various investment advisor regulatory issues;
- Assisting with gathering data and responding to regulatory and governmental inquiries/investigations;
- Assisting with conducting internal investigations;
- Assisting with a variety of special projects; and
- Assisting with the preparation and review of various regulatory filings.
The ideal candidate will have:
- Bachelor's degree with a strong academic record;
- 3 - 5+ years of experience relating to investment advisor regulation, preferably at the SEC, a regulatory consulting firm or another alternative asset manager;
- A thorough understanding of both worldwide and U.S. securities laws, including the Investment Advisers Act of 1940;
- Ability to effectively and clearly identify issues and communicate findings to other members of the compliance department;
- Exceptional organization skills; and
- A proven ability to multi-task and work both independently and as a team player in a fast-paced environment.
- Good Excel skills and proficiency using the Bloomberg terminal preferred
June 22, 2012
• Tags: Compliance Officer recruitment, Investment Consulting careers in the USA • Posted in: Financial