Our client is a New York-based Asset Managment firm with approximately $14 billion AUM. They are looking for a VP Compliance Officer to join their team supporting the Chief Compliance Officer. Prior SEC/NFA/CFTC exam experience is a necessity.
- Manage a comprehensive compliance program that is continually updated with the best practices
- Assist CCO with annual compliance review, including forensic testing and management reporting on results. Work closely with firm’s various functional teams on implementing, monitoring and updating all necessary compliance policies and procedures
- Perform ongoing monitoring and approval of personal trading, gifts and entertainment activities, outside activities, political contributions and other Code of Ethics policies and procedures
- Prepare and maintain all regulatory filings (Form ADV, Form PF, CPO-PQR, CTA-PR, Form D, 13F, etc.)
- Assist CCO with regulatory examinations and all compliance and legal related issues.
- Manage the day-to-day compliance tasks with the focus on the firm’s quantitative investment business. Assist CCO in integrating and developing new compliance program and procedures of two firms that have recently been merged.
- Review pitchbooks, monthly reports, DDQs and other marketing documents. Participate in investor operational due diligence meetings
- Liaise with outside legal counsel to manage, review and update all fund related formation and offering documents, from fund launch to ongoing revisions
- Liaise with outside legal counsel to manage the review and negotiation of other various legal contracts for both the management company and for the funds (e.g. employment agreements, investment advisory agreements, investor side letters, brokerage agreement, service provider agreements, etc.)
- Perform investor qualification and AML/KYC verifications for new investors
- Provide advice and support to marketing and operational teams for new business initiatives
- Keeping the firm current with new rules, regulations and other legal and compliance requirements and updating all necessary colleagues in a concise, practical manner
- Interact with and report compliance matters to the parent company’s (major Japanese financial institution) compliance team
- Minimum 5 years of compliance and legal experience at a registered investment adviser, law firm, or investment consulting firm.
- Strong working knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Commodity Exchange Act, SEC and CFTC/NFA regulations, , and securities laws
- Experience with SEC exams and knowledge of SEC exam practices.
- Experience with Volcker Rule and Bank Holding Company rules is a plus
- Practical judgment and ability to properly identify and escalate regulatory and compliance issues
Job ID – 1538