Manager, Compliance overseeing federal clients' FOIA compliance and federal contracting adherence. Leading strategic guidance and compliance operations with a focus on effective audits and training.
About the role
- AVP, Compliance at a leading global alternative investment management firm focusing on real estate, infrastructure, and credit strategies. Collaborating on compliance program management and regulatory support.
Responsibilities
- Serve as a thought leader on compliance matters, including AI, cybersecurity and data privacy
- Assist in the management of all aspects of the compliance program including onboarding and offboarding employees into the compliance system, and address employee questions around the Code of Ethics
- Maintain all records of compliance regarding pre-clearance approvals and marketing reviews
- Manage compliance operations related to marketing reviews, pre-clearance approvals and recordkeeping
- Provide dedicated compliance support to the firm and partner with external regulatory advisers
- Support preparation and response efforts for SEC audits and other regulatory inquiries
- Support the annual compliance review and back test different compliance policies; continually assess the compliance policies and procedures, and drive implementation of policy enhancements
- Collaborate closely with the Accounting & Portfolio Management teams on regulatory reporting requirements
- Leverage data analytics to identify trends, gaps and opportunities for program improvement
- Other duties as assigned
Requirements
- Working knowledge of the Advisers Act, insider trading, anti-money laundering laws, anti-bribery and corruption rules, and conflicts of interest
- Experience managing SEC audits and regulatory communications
- Fluency with the FINRA IARD system and SEC filings including Form ADV and Form PF
- Expertise with the EDGAR system and Form D filings
- Highly organized, proactive, solutions-oriented thinker, with a passion for compliance and helping a growing firm navigate evolving rules and regulations
- Strong communication, interpersonal, and collaboration skills
- 5+ years of advanced compliance experience at a financial services firm
- Expertise with the FINRA IARD system to input annual Form ADV and Form PF
- Knowledge with compliance monitoring systems, such as ComplianceAlpha or ComplySci and technology solutions
- Experience with private equity, fund management, and/or real estate strongly preferred
Benefits
- Medical
- Financial
- Wellness programs
- Generous discretionary bonus
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