Atlantic Group | Director of Compliance

Location: Midtown ManhattanCompensation: $250K-$300K total compensationJob Description The Legal and Compliance Department consists of the General Counsel, the Chief Compliance Officer, Associate General Counsels, and several paralegals, legal assistants and compliance professionals. The Legal and Compliance Department coordinates, oversees, and handles all legal, regulatory and compliance issues globally.Key compliance responsibilities and tasks will include the following:Analyze legal and regulatory changes, designing new policies and procedures to mitigate risks and leading regulatory change management process in partnership with operations and investment teams. Execute, monitor and test policies and proceduresAssist with administering Firm's compliance policies, focusing on areas such a personal trading, insider trading, gifts and entertainment and political contributionsAdvise investment team on regulatory compliance matters, including conflicts of interest, investment allocation, information sharing (public and private), and fund governancePrepare and supervise a variety of regulatory filings with the SEC and other international regulatory bodies, in collaboration with operations and finance teamsEnhance and maintain effective trade surveillance program to ensure compliance with relevant legal and regulatory requirements as well as internal allocation policies and proceduresCoordinate compliance training initiatives and materials for employees globallyResponsible for periodic compliance testing and reviews to ensure policies and procedures are working effectivelyRequirementsBachelor's degree required. Post graduate degree (JD or MBA) a plus but not required7+ years of compliance related work experienceSolid knowledge of relevant SEC regulatory requirements related to the Investment Advisers Act of 1940, the Securities Act of 1933, and the Securities Exchange Act of 1934 and the rules and regulation thereunder

Created: 2025-01-09