Compliance Officer - Investment Management

Why Join Us:Privately-held, fast-growing and profitable company - progression opportunities as business growsFlexible and autonomous working culture with work / life balanceExcellent compensation and benefits packageResponsibilities: Manage, develop and refine compliance function and processes in conjunction with General CounselPreparation of regulatory reports (Section 13 filings, Form ADV, Form PF, etc.) to ensure all regulatory requirements are metPerform testing of policies and procedures to assess adherence and effectiveness and document the results in coordination with the firm's compliance consultantConduct electronic communication surveillance for compliance risks including MNPI, Code of Ethics obligations and other compliance issuesMaintain the firm's Restricted List and conduct trade surveillance related thereto and other compliance policiesReview marketing materials (firm presentation, DDQ, investor letters, monthly performance report, etc.) to ensure adequate disclosures and support is maintainedAdminister the firm's Code of Ethics, including the monitoring of all compliance reporting obligations and pre-clearance requests (employee personal trading, etc.)Update policies and procedures and training materials for regulatory developments, changes in business practices, and recommended improvementsDraft periodic compliance communications to the firm and assist with compliance trainingComplete regulatory certifications, external requests for compliance information and other compliance program administrative duties, such as maintenance of all compliance recordsInteract with CEO, CIO and COO on various analyses, projects and initiativesDevelop/document processes and procedures, identify enhancements and remedial actions and evolve the role to continuously adopt best practices and reduce riskRequirements:Essential Education: Bachelor's degreeDemonstrable hands-on compliance experience at an SEC-Registered investment business and/or consulting firm or appropriate regulatory bodyStrong practical understanding of Investment Advisers Act of 1940

Created: 2025-03-03