Senior Manager, Code of Ethics Compliance

Location: Midtown Manhattan (hybrid) Compensation: $155k-$200k base + bonus Position Description The Senior Manager will be based in New York and will focus on regulatory and administrative compliance, principally under U.S. rules and regulations relating to the Investment Advisers Act. Responsibilities: Manage a small team of analysts in the administration of the firm's compliance functions. Manage Code of Ethics disclosures, personal trading monitoring, creation of training and other monitoring and testing in support of the firm's global compliance oversight program. Enhance the scale and efficiency of the Code of Ethics compliance program. Interact with employees from the firm's global offices. Collaborate with the Chief Compliance Officer. Qualifications 6-12 years of relevant compliance or regulatory experience at a midsize or large financial services or investment firm. Managerial experience Strong working knowledge of the Investment Advisers Act Rules 204A-1 and 206(4)-7 and a working understanding of compliance principles and U.S. regulatory framework. Strong attention to detail and the ability to execute forward planning in a timely fashion. Strong professional verbal and written communication skills, and excellent leadership skills, with strong work ethic that leads by example. Proficiency in StarCompliance and prior experience managing through SEC examinations of Code of Ethics programs is preferred.

Created: 2024-11-02