Senior Compliance Officer

Blacklock Group · New york city metropolitan area, United States

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.

This is a hands-on role reporting directly into the CCO.

The role will cover:

• Compliance monitoring, testing and surveillance
• Investment Advisers Act / SEC regulatory requirements
• Portfolio & asset management compliance
• Alternative investments and private/pooled investment vehicles
• Client and investment management agreements
• Code of Ethics administration
• Third-party sub-adviser & vendor oversight
• Electronic communications and social media review
• Policies, procedures and supervisory controls
• Supporting SEC examinations and the annual 206(4)-7 compliance review

Ideal background:

• Senior compliance experience within an investment adviser
• Strong Code of Ethics Experience
• Strong with AI within compliance functions