Senior Compliance Officer
Responsibilities
o Assisting in the oversight of all aspects of an investment advisory compliance program including but not limited to:
? Assisting the firm in assessing inherent risks and conflicts of interests in their respective business lines;
? Developing and implementing policies and procedures reasonably designed to prevent violations of federal securities laws and to address risks and conflicts of interest;
? Developing and implementing transactional, periodic, and forensic testing programs to assess the adequacy of the firm’s policies and procedures;
? Performing compliance testing;
? Assisting the firm in implementing corrective actions as identified by the testing programs;
? Recommending enhancements to all facets of the business;
? Assisting with the development of compliance training programs;
? Ensuring timely and accurate regulatory reporting; and
? Managing regulatory and sweep examinations.
o Participate as needed in various committee meetings such as Fair Valuation, Brokerage, and Allocations.
o Liaise with the investment professionals and support departments to resolve pending matters.
o Liaise with the firm’s divisions to ensure implementation of corporate polices.
o Liaise with the Legal Department regarding the interpretation and implementation of complex regulations.
o Respond to internal audits of compliance functions.
o Participate as needed in new business presentations or investor due diligence meetings.
o Ad hoc projects as needed.
Qualifications
o 5 – 10 years compliance experience with ALL aspects of the Investment Adviser’s Act of 1940.
o Experience with business development companies (BDCs) and the related compliance requirements under the ’33 Act, the ’34 Act, and the ’40 Act is highly preferred. Familiarity with SBA financing for BDCs is also preferred.
o Experience with CLOs, high yield bonds, private debt/equity funds, open and closed end mutual funds, and Delaware Statutory Trusts is preferred.
o JD is a plus.
o Proven ability to identify, solve and prevent regulatory issues.
o Detail oriented and well organized.
o Ability to multi-task in a dynamic environment.
o Excellent oral and written communication skills are essential as are strong interpersonal skills.
To apply please submit your resume to Jack Kelly – JKelly@compliancesearch.com
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