Compliance Officer

Callodine Group; Boston (MA); On-site; USD 120,000 - 165,000; Full time

Job summary

Callodine Group, LLC, an asset management platform, seeks a Compliance Officer to report to the Chief Compliance Officer and support the design, implementation and ongoing administration of the firm’s compliance framework in Boston. This role provides exposure to adviser and fund compliance, trading oversight, regulatory filings, and marketing reviews across liquid and alternative products.

The ideal candidate has 3+ years of compliance experience at an asset manager, understands the Investment

Qualifications

• 3+ years of compliance experience in asset management.
• Experience administering and maintaining a firm's compliance manual and code of ethics.
• Understanding of SEC registration and regulatory filings.

Responsibilities

• Foster and oversee the firm's culture of compliance.
• Assist the CCO with day-to-day compliance functions across the firm.
• Oversee compliance with policies and procedures including testing and reviews.
• Assist with regulatory filings (Section 13, Form ADV, Form PF, Blue Sky).
• Prepare risk assessments and annual reviews; liaise with Legal, Finance, and Operations.

Skills

Regulatory compliance

Investment Advisers Act knowledge

Policy administration

Attention to detail

Organizational skills

Job description

Callodine Group, LLC (“Callodine”) is an asset management platform who subsidiaries specialize in yield-oriented investment strategies. The firm’s investment adviser subsidiaries collectively manage over $20 billion in assets under management across public equities, fixed income, private credit, and real estate. Callodine’s managed vehicles include both registered and private funds, as well as permanent capital vehicles. The firm is also an active acquiror of other asset management platforms.

Role: Compliance Officer

Callodine is seeking a Compliance Officer to report to the Chief Compliance Officer (CCO) and play an integral role in the firm’s compliance program and regulatory affairs. This role will work closely with the CCO and broader legal/compliance team to support the design, implementation and ongoing administration of the firm’s compliance framework. This position offers broad exposure to investment adviser compliance, fund compliance, trading oversight, regulatory filings, marketing reviews and strategic business initiatives across both liquid and alternative investment products.

The ideal candidate is detail-oriented, intellectually curious, organized and comfortable operating in a fast-pace environment with evolving business priorities.

Responsibilities:

• Foster, develop and oversee the firm’s culture of compliance
• Assist the CCO with day-to-day compliance functions across the firm
• Work with the firm’s compliance consultants to oversee compliance with the firm’s policies and procedures, including regular testing and reviews
• Assist with administration of Code of Ethics and Personal Trading Policy including maintenance of Compliance System
• Review and approval of marketing materials
• Pre and Post trade compliance monitoring – review and oversight of pre and post trade compliance monitoring; review of implementation of rules
• Assist in administration of Allocation Policy and SEC co-investment exemptive order
• Evaluate, identify, escalation and solve for potential areas of risk in compliance
• Assist with maintenance of Restricted List
• Assist with regulatory filing preparation (Section 13, Form ADV, Form PF, Blue Sky etc.)
• Assist in the preparation of risk assessments, annual reviews, vendor reviews
• Work with multiple teams internally including Legal, Finance, Operations, IT, Portfolio Management, and Investor Relations teams and liaise with outside service providers as necessary to monitor and maintain compliance policies and procedures and respond to inquiries
• Prepare and improve compliance reporting – both to internal stakeholders and external stakeholders (Registered Funds; Institutional SMA Clients; Fund Investors, etc.)
• Assist in various aspects related to governance
• Participate in regulatory examinations – preparation, coordination, data aggregation/collection, etc.
• Stay current with respect to industry trends and changes to compliance regulations, assist with updating compliance program to meet evolving regulatory obligations

Desired Skills & Experience:

• A successful candidate will have at least 3 years of experience in compliance at an asset management firm, alternative investment knowledge and experience preferred
• Understanding of the Investment Advisers Act of 1940 and experience with administering the compliance program for an SEC registered adviser
• Experience administering and maintaining a firm’s compliance manual and code of ethics and reviewing various documentation (Form ADV, investor communications, marketing materials, etc.)
• Entrepreneurial attitude with a desire to work in a collegial, team-first environment
• Strong attention to detail
• Excellent organizational skills
• The highest standards of personal and professional integrity and ethics