Global Regulatory Compliance Senior Associate/VP

Coda Search│Staffing; Greenwich (CT); On-site; USD 140,000 - 230,000; Full time

Job summary

Coda Search is seeking a senior compliance specialist for a global asset management firm in Greenwich, CT. You will oversee regulatory reporting for hedge funds, mutual funds, and separate accounts, ensuring alignment with global regulations and governance standards.

Ideal candidates have 5+ years in asset management compliance, with hands-on experience in 13F/13G, TIC, and derivative filings, and the ability to translate complex requirements into actionable internal policies.

Qualifications

• Minimum 5 years of experience in compliance at a global asset management firm.
• Experience with shareholder of interest filings and Section 13.
• Familiarity with TIC reporting and derivative-related filings.

Responsibilities

• Oversee the global regulatory reporting and ensure compliance of operations and investment strategies.
• Coordinate preparation and filing of forms such as Form ADV, Form PF, 13F, 13G/D and other global filings.
• Monitor evolving regulations from SEC, FINRA, CFTC, NFA and translate into internal policies.

Skills

Regulatory reporting

Financial regulations

Policy drafting

Stakeholder comms

Risk management

Education

Bachelor's degree

Job description

Global asset management firm is in search of a senior compliance specialist to oversee the global regulatory reporting. The role will ensure that the firm’s operations and investment strategies remain in strict accordance with global financial regulations. You will act as a key guardian of the firm's reputation, translating complex regulatory requirements into actionable internal policies. The role will be responsible for its regulatory filings related to its hedge funds, mutual funds and other separately managed accounts, monitoring and interpreting regulations from governing bodies such as the SEC, FINRA, CFTC, and NFA. The role will oversee the preparation and filing of critical regulatory reports (e.g., Form ADV, Form PF, 13F, 13G/D) and other global filings in the UK, Europe and Asia.

Successful candidate will have a minimum of 5 years of experience in compliance at a global asset management firm, specifically with experience in shareholder of interest filings, Section 13, TIC reporting, and other derivative related filings.