Senior Vice President, Compliance Officer

Senior Vice President, Compliance Officer About the Company Internationally acclaimed fixed-income investment management firm IndustryInvestment Management TypePrivately Held Founded1971 Employees1001-5000 Categories BankingB2BConsulting & Professional ServicesEnterpriseInvestment ManagementAsset ManagementAsset Management CompaniesAsset Management FirmsAsset and Fund ManagementBrokerageEconomicsFOREXFinanceHedge FundsInvestment BankingInvestment Management CompaniesInvestment Management CompanyInvestment Management FirmInvestment Management FirmsInvestment Management ServicesOPECOther Investment FirmsFinancial ServicesCrowdfundingVenture Capital Business Classifications B2BEnterprise About the Role The Company is a global leader in active fixed income with a strong focus on public and private markets. They are seeking a Senior Compliance Officer to join their global compliance team, with a specific emphasis on the U.S. Registered Funds 38a-1 compliance program. The role involves providing direct support to various types of registered funds, including closed-end funds, interval funds, and business development companies. The successful candidate will be responsible for implementing and adapting the compliance program to meet new regulatory requirements, conducting annual reviews of compliance policies, and procedures, and assisting in the oversight of the fund's service providers. Applicants for this role at The Company should have a Bachelor's degree or equivalent, with a JD considered a plus, and several years of relevant experience in a major financial services firm or global asset manager. A strong background in 40 Act products, such as closed-end funds, interval funds, or business development companies, is essential. The ideal candidate will have comprehensive knowledge of the regulatory frameworks applicable to U.S. investment managers and broker-dealers, including the Investment Company Act of 1940 and FINRA rules. Strong analytical skills, attention to detail, and the ability to balance regulatory requirements with business perspectives are also required. The role demands a team-oriented individual with a global mindset, cultural sensitivity, and proficiency in the MS Office suite. Hiring Manager TitleVice President, Senior Compliance Officer Travel PercentLess than 10% Functions FinanceStrategy

Created: 2025-01-30