Senior Compliance Officer

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.

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The role will cover:Compliance monitoring, testing and surveillanceInvestment Advisers Act / SEC regulatory requirementsPortfolio & asset management complianceAlternative investments and private/pooled investment vehiclesClient and investment management agreementsCode of Ethics administrationThird-party sub-adviser & vendor oversightElectronic communications and social media reviewPolicies, procedures and supervisory controlsSupporting SEC examinations and the xzbcwsv annual 206(4)-7 compliance review
Ideal background:Senior compliance experience within an investment adviserStrong Code of Ethics ExperienceStrong with AI within compliance functions