Location: New York,NY, USA
The Compliance Officer will report into the Deputy Chief Compliance Officer and will lead the Risk Review, Monitoring and Exams (RRME) team in support of the overall global Compliance function.
The position is responsible for managing the process by which key compliance risks are periodically identified and evaluated across business lines. The results of the risk assessments are used to drive the planning of the Compliance program and development of policies, procedures, and control enhancement initiatives to manage compliance risk throughout the organization. This will include the management of regulatory exams and inspections. The Compliance officer will also manage and lead a small team that will also cover compliance related due diligence activities and investor related workstreams. The ideal candidate will be highly self-motivated, organized, and attentive to detail. You should be capable of managing a diverse workload and prioritizing tasks in a fast-paced corporate environment.
What you ll do
Overseeing and executing the end-to-end process for regulatory engagements, including reviewing examination requests, advising internal stakeholders, and reviewing and obtaining approval for regulatory submissions.
Development and execution of Compliance review program.
Identifying, escalating, and developing solutions for potential regulatory risks.
Develop and document internal controls.
Build reports and dashboards off compliance risk assessments.
Coordinate global requirements and delivering information requested by regulators.
Develop, oversee, and execute compliance due diligence program.
What you ll bring What you need:
Bachelor s degree
4-7 years experience in regulatory compliance at a Hedge Fund.
Experience of successfully managing SEC RIA examinations, NFA examinations, or similar regulatory inspections.
Prior team management experience.
Highly self-motivated, organized, and attentive to detail.
Structured, methodical and consistent in execution.
Adaptable and open to change, a natural problem solver and lateral thinker.
Calm and concise communicator, collaborative and able to engage well with staff of varying roles and seniority.
Firm and team first in thinking.