Compliance Officer

Green Key Resources; New York (NY); On-site; USD 120,000 - 200,000; Full time

Job summary

A leading investment management firm is seeking a compliance professional in New York, NY to contribute to ensuring adherence to regulatory standards for U.S. Registered Funds. This role involves collaborating with internal stakeholders, supporting the Chief Compliance Officer, and maintaining compliance with federal securities laws. The ideal candidate will have at least 3 years of experience in financial services, strong analytical skills, and exceptional attention to detail, all while demonstrating a commitment to ethical practices.

Qualifications

• Minimum of 3 years of experience in financial services or asset management, especially related to '40 Act products.
• Demonstrated commitment to ethical standards and discretion in handling confidential information.
• Ability to adapt to changing business needs and regulatory requirements.

Responsibilities

• Provide direct support to U.S. registered closed-end funds, interval funds, and business development companies.
• Ensure compliance with co-investment exemption relief granted by the SEC.
• Support compliance program enhancements and respond to regulatory changes.

Skills

Understanding of federal securities law

Asset management experience

Organizational skills

Analytical skills

Education

Bachelor's degree

JD preferred

Job description

Base: 120-200k + bonus (pending background/ experience)

Job Description

Overview

• Contribute to the compliance team of a leading investment management firm, focusing on U.S. Registered Funds and ensuring adherence to regulatory standards.
• Support the Chief Compliance Officer in managing compliance programs, governance matters, and regulatory filings for registered funds.
• Collaborate with fund counsel and legal administrators to prepare board materials, agendas, and shareholder meeting coordination.
• Assist in administering fund valuation committees, preparing compliance testing reports, and ensuring adherence to investment guidelines.
• Enhance compliance programs in response to evolving regulatory requirements and business changes within the firm.
• Participate in risk assessments, testing programs, and documentation of testing plans to improve compliance processes.
• Maintain a strong understanding of federal securities laws, investment company regulations, and FINRA rules applicable to registered funds.
• Demonstrate initiative, and commitment to ethical principles while supporting firm-wide legal and compliance initiatives.

Key Responsibilities & Duties

• Provide direct support to the U.S. registered closed‑end funds, interval funds, and business development companies.
• Ensure compliance with co‑investment exemption relief granted by the SEC, including pre‑approval processes and board reporting.
• Leverage with fund counsel to update filings, registration statements, and annual prospectus documentation.
• Coordinate annual shareholder meetings and assist with fund valuation committee administration and compliance testing.
• Develop risk matrices, execute testing procedures, and identify enhancements based on compliance test results.
• Support compliance program enhancements and respond to regulatory changes and business developments.
• Provide guidance to senior management on board proposals and compliance matters.
• Collaborate with the legal and compliance department to support firm-wide initiatives and maintain high ethical standards.

Job Requirements

• Bachelor's degree required, JD preferred.
• Minimum of 3 years of experience in financial services or asset management, focusing on '40 Act products.
• Strong understanding of federal securities law, Investment Company Act, Investment Advisers Act, and FINRA rules.
• Experience with fixed income, CLOs, and private debt is a plus.
• Exceptional organizational skills, attention to detail, and ability to prioritize tasks effectively.
• Demonstrated commitment to ethical standards and discretion in handling confidential information.
• Ability to adapt to changing business needs and regulatory requirements.
• Strong analytical skills and collaborative work ethic.