Senior Compliance Officer - Asset Manager

Role: Senior Compliance Officer (generalist with marketing materials review)Firm: Alternative Investment Manager (Asset Backed Lending & Private Credit focused)Location: Midtown, NYC 3-4x a weekDescription:· Review sales and marketing materials for pooled investment vehicles (registered and unregistered) and separately management accounts to ensure compliance with applicable FINRA, SEC and foreign regulations· Review sales and syndication materials for loan syndication· Review, comment and approve materials in a timely manner· Coordinate and collaborate with key stakeholders in sales, client service, product development, and investments· Train employees on marketing policies, procedures and compliance workflows· Serve as the primary liaison with regulatory bodies and manage examinations and audits through deliberate, accurate and thorough responses and communications· Direct and monitor third party vendors who provide reporting, training and compliance recommendations with respect to the registered investment advisory business.· Draft and review all disclosures, disclaimers, stickers and other recurring provisions on all marketing materials of the Company· Support the design and implementation of strategic and sustainable compliance risk management routines and monitor the routines of the team· Stay current on all regulatory and legal developments with respect to registered investment advisory firms and provide comprehensive guidance to senior leadership· Draft and review diligence responses related to compliance policy and procedure of the firm.· Manage firmwide governance routines to oversee Policies and Regulations ManagementMinimum Qualifications:· Bachelors degree completed· 5+ years of Compliance experience working for an SEC registered Asset Management firm· Expertise with reviewing sales and marketing materials for Asset Managers· Strong understanding and application of the SEC and FINRA advertising requirements related to sales literature and advertising.· Knowledge of the US Investment Advisor Act 1940 as well as SEC and CFTC Regulations· Experience with administering advisory compliance testing and reporting· Ability to comprehend legal and policy and procedure guideline documents, as well as regulatory requirements in multiple jurisdictions· Proven track record of designing and implementing comprehensive compliance training programs· Strong understanding of Compliance program mandates and Operational Risk Frameworks· Management experience of at least 1 staff· Excellent communication, attention to detail, time management

Created: 2025-01-14