Fernridge Group | Compliance Officer

Title: Compliance AssociateOfficer Firm: $50B+ Alternative Asset Management FirmLocation: Greenwich, CT and New York, NYJob Overview: Our client, a successful alternative asset management firm with $50B+ in AUM is seeking an exceptional Compliance Professional to join their compliance team. Highlights: Newly created position on the credit team which is the fastest growing area of the firm The firm emphasizes personalized mentoring and training for new hires, aiming to develop their skills and promote from within (they recently created a formal program here!) Compliance is led by experienced professionals who have ample experience in the asset management world and will be excellent senior people to learn from Firm is dedicated to cultivating a diverse and inclusive workplace, recognizing that such an environment brings strength and effectiveness to the organization.ResponsibilitiesAssist with preparing various regulatory filings including Form ADVAssist with updates to Compliance Manual, Code of Ethics and other policiesAssist in conflicts, MNPI and non-syndicate information screening and trackingFacilitate the compliance requirements associated with the investment process and manage investment documentationOversee AMLKYC program for CreditDevelop and implement Order Management System compliance rules for allocations and investment restrictionsConduct new-hire general credit trainingOversee and escalate California lending reviewAssist in marketing reviewSupport other compliance projects RequirementsJ.D. from accredited institution helpful but not requiredBachelor's degree from an accredited collegeuniversityMinimum of three years of relevant compliance experience (financial services and Investment Company Act, a plus)Energetic with strong leadership, highly collaborative and strong project management skills

Created: 2025-01-09