Compliance Officer

Job Summary

• Individually accountable for establishing a compliance framework; including Risk Management and Monitoring plan.
• Initiates and facilitates corrective action where required.
• Prepare and submit all regulatory reports to prevent penalties.

Job Details

• Conduct risk assessments and develop and implement compliance policies and procedures to ensure adherence to SEC guidelines and other applicable laws and regulations.
• Develop, implement and deliver training programs for employees to ensure awareness and adherence to compliance policies and procedures.
• Provide guidance and advice to management and employees on compliance matters, including regulatory requirements and best practices.
• Monitor and assess the effectiveness of the firm’s compliance program, and make recommendations for improvements as necessary.
• Stay up-to-date on regulatory developments and industry trends, and communicate relevant information to management and employees.
• Conduct compliance audits and reviews, and provide reports to management and regulatory authorities.
• Collaborate with legal, risk management and audit teams to ensure the effective management of regulatory and compliance risks.
• Investigate compliance issues, and recommend corrective action to ensure adherence to SEC guidelines and other relevant regulations

Required Qualifications

• Bachelor’s degree in business, finance, or related field.
• Must be a registered SEC-Sponsored individual.

Job Factors

Knowledge:

• Minimum of 3 years of relevant experience in a compliance role within an asset management firm or related industry
• In-depth knowledge of SEC regulations and guidelines

Abilities:   

• Excellent communication
• Proven problem-solving skills
• Strong analytical skills

Key Working Relationships:

• Managing Director
• Internal Control Officer
• Securities and Exchange Commission

We offer a highly competitive salary package for this position to ensure that our employees are fairly compensated for their work and dedication.