Senior Compliance Manager, Asset Management (SOX)

Cyperus Group LLC; New York (NY); On-site; USD 150,000 - 230,000; Full time

Job summary

Cyperus Group LLC seeks an experienced compliance professional to lead the compliance program for our Asset Management business within a global financial services organization in New York.

Reporting to the Chief Compliance Officer, the role oversees legal, regulatory, and compliance risks in a SOX environment and partners with business leaders to ensure governance, strong controls, and effective regulatory filings across adviser entities.

Qualifications

• 6+ years of compliance experience with an SEC-registered investment adviser, exempt reporting adviser, and/or regulated investment business.
• Strong knowledge of securities and asset management regulations.
• Familiarity with the Investment Advisers Act and related securities, investment company, and commodities regulations.
• Strong understanding of compliance risk and ability to develop pragmatic solutions.
• Excellent communication, collaboration, and stakeholder management skills.
• Bachelor's degree required; advanced or professional qualifications are a plus.

Responsibilities

• Develop and maintain compliance policies, procedures, and controls for investment management activities.
• Oversee regulatory filings and support regulatory inquiries.
• Monitor legal and regulatory developments and assess their impact on the business.
• Conduct risk assessments and risk-based compliance testing; recommend and implement enhancements.
• Support securities offering, governance, investor, and operational due diligence requirements.
• Develop and deliver compliance training.
• Maintain required compliance and corporate records.
• Partner with Legal, Compliance, Risk, and business teams globally to promote consistent and effective practices.
• Serve as a trusted compliance advisor to senior business stakeholders.

Skills

Regulatory compliance

Stakeholder management

SEC-registered adviser knowledge

Asset management regulations

Education

Bachelor's degree

Job description

Cyperus Group LLC seeks an experienced compliance professional to lead the compliance program for our Asset Management business within a global financial services organization in New York.

Reporting to the Chief Compliance Officer, the role oversees legal, regulatory, and compliance risks in a SOX environment and partners with business leaders to ensure governance, strong controls, and effective regulatory filings across adviser entities.