Senior Compliance Officer (or Compliance Officer)
About the position Responsibilities • Act as subject matter expert overseeing monitoring and testing of the Firm's regulatory compliance controls • Establish and enhance compliance standards and design and implement improvements to internal control structures • Develop and execute special or enhanced monitoring and testing techniques for new, complex or high-risk requirements, or in response to certain weaknesses discovered through routine assessments, testing, audits or exams • Manage and complete regulatory filings • Review advertising and sales materials, correspondence, investor communications and investor reports and other documents to ensure that these materials meet SEC advertising regulations and other regulatory rules, as applicable, and internal quality control standards • Investigate and resolve compliance-related issues and advise Senior Management and Board on compliance matters • Assess control design and effectiveness to mitigate compliance risk • Manage certain special projects related to the Legal & Compliance Department as needed, e.g., policy updates due to regulatory changes, research and recommend solutions related to compliance matters • Serve as a subject matter expert on the implementation and execution of testing regulatory compliance controls • Effectively communicate compliance-related issues requiring management attention • Stay apprised of regulatory matters and developments through reading, research and training through online webinars and conferences and assist with exam preparedness efforts • Collaborate internally with other members of the Legal & Compliance Department to ensure consistent standards and effective communication Requirements • Bachelor's degree or equivalent education required; JD from a top-tier institution is preferred but not required • At least 8 years of relevant experience including experience with the Investment Advisers Act of 1940 and / or the Investment Company Act of 1940 • Knowledge and understanding of regulatory and industry best practices developments, particularly in the areas of compliance, corporate governance and risk management • Preference for previous exposure to, and broad understanding of, the credit asset management business • Strong analytical skills with experience in prioritization, issue identification and resolution • Strong project management skills, ability to review materials quickly and ability to drive and meet deadlines • Skilled in business writing and editing with strong attention to detail • Quick learner who has an ability to grasp complicated financial concepts • Capacity and passion for being part of a fast-growing, multi-office environment • Team oriented with the ability to build relationships and earn the respect of others • Self-starter with the ability to manage projects independently • Ability to handle sensitive matters at all levels of the organization with discretion and confidentiality • Ability to anticipate and react quickly to the evolving financial services regulatory environment • Demonstrated knowledge base and stature to deliver solution-oriented advice in a manner that is respected and valued by business and staff group leaders and constituents • Enthusiastic about working in office and creating a Gold Standard hybrid work culture Benefits • 401(k) eligibility • various paid time off benefits such as vacation, sick time and parental leave Apply tot his job