AVP of Compliance (Asset Management)

Compliance Officer – Asset Management

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Seeking an experienced Compliance Officer to support the administration and implementation of regulatory compliance programs for a leading asset management organization.Key responsibilities:Conduct compliance testing, monitoring, and risk assessmentsReview and enhance policies, procedures, and compliance manualsInvestigate and document compliance issues and regulatory mattersSupport regulatory filings, examinations, audits, and board reportingConduct third-party and intermediary due diligenceAssist with personal trading and employee communications reviewsPartner with business teams and senior leadership on regulatory requirementsQualifications:Bachelor’s degree with 4–6 years of relevant compliance experience xzbcwsv Strong knowledge of the Investment Advisers Act and Investment Company ActFamiliarity with FINRA, CFTC, FCA, and related regulatory requirementsSeries 7 and 24 preferredExcellent communication, writing, organizational, and project management skills