Senior Compliance Officer
St. Petersburg, Maryland, United States of America
Full Time
1 day ago
$150,000 - $200,000 USD
Visa Sponsor
Key skills
Communication
About this role
Role Overview
- Support the firm's compliance program across registered private equity funds, private debt funds, and ETFs
- Monitor compliance with SEC regulations, Investment Advisers Act requirements, fund governing documents, and internal policies
- Assist in the development, maintenance, and enhancement of compliance policies and procedures
- Monitor regulatory developments and assess their impact on the firm's business and products
- Support compliance oversight for registered closed-end private equity and private credit funds as well as new products
- Monitor compliance with fund investment restrictions, conflicts of interest policies, valuation procedures, and side letter obligations
- Coordinate periodic compliance testing and surveillance activities related to private fund operations
- Assist with board reporting
- Support compliance oversight of ETF products, monitoring adherence to regulatory requirements and support in the launch of new products
- Conduct periodic compliance reviews and testing of key controls
- Investigate potential compliance issues and assist in remediation efforts
- Assist with preparation and review of regulatory filings, including Form ADV and other applicable filings
Requirements
- Bachelor's degree in Finance, Accounting, Business, Law, Economics, or related field
- 5–8 years of compliance experience within an investment adviser, asset manager, private fund manager, ETF sponsor, or similar financial institution
- Direct experience supporting private equity funds, private debt/private credit funds, and/or ETF products
- Strong knowledge of the Investment Advisers Act of 1940 and SEC regulatory requirements
- Experience conducting compliance monitoring, testing, and regulatory reviews
- Excellent analytical, organizational, and communication skills
- Ability to manage multiple priorities in a fast-paced environment
Benefits
- Annual discretionary bonus
- 401(k) plan with a generous match
- Competitive healthcare options
- Insurance benefits
- Disability benefits
- Employee stock investment program
- Learning resources
- Career development programs
- Reimbursement for certain education expenses
- Paid time off (vacation / holidays / sick / leave / parental & caregiving leave / bereavement / volunteering / floating holidays)
- Motivational wellbeing program