AVP of Compliance (Asset Management)

Compliance Officer – Asset Management

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 experienceStrong 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