Senior Compliance Officer
Job Summary
Working remotely, the full-time Senior Compliance Officer will manage compliance monitoring, audits, and reporting while collaborating with various departments to ensure adherence to investment regulations and internal policies.
Key responsibilities
- Oversee daily compliance monitoring and address violations in real-time during trading activities
- Monitor potential investment policy breaches and ensure compliance with federal and state regulations
- Facilitate audits and prepare regulatory filings, ensuring accuracy and compliance with deadlines
Required qualifications
- Deep understanding of securities trade lifecycle and various financial instruments
- Background in relevant compliance regulations, including the Investment Advisers Act and SEC reporting
- Experience with buy-side compliance software systems, such as Blackrock Aladdin
- Advanced degree in Business Management, Finance, or Economics preferred
- Professional certification (e.g., IACCP, CFA, CAMS) is a plus
Complete Job Description
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