Senior Compliance Officer

The Bachrach Group; New York (NY); On-site; USD 140,000 - 190,000; Full time

Job summary

The Bachrach Group is seeking a Senior Compliance Officer in New York, NY to support the Alternative business, including investments in Direct Real Estate, Infrastructure Debt, and Private Credit. The role focuses on developing policies, maintaining regulatory expertise, and ensuring timely handling of compliance issues.

Ideal candidates will have 7+ years in investment advisory compliance with knowledge of the Investment Advisers Act and related regulations, plus a Bachelor's degree; JD or

Qualifications

• 7+ years of investment advisory compliance experience.
• Expertise in Alternative products (direct real estate, private credit, and infrastructure) preferred.
• Legal/compliance experience with knowledge of the Investment Advisers Act, Investment Company Act, and other regulations for investment management operations.

Responsibilities

• Create policies and procedures that adhere to federal securities laws.
• Maintain expertise in the regulatory environment and industry practices.
• Ensure timely escalation, evaluation, investigation, and resolution of compliance issues.
• Review and approve new product offerings.
• Conduct annual risk assessments of business controls.
• Collaborate with the senior management team on global and regional projects and annual risk assessment.
• Lead initiatives to implement best practices.

Skills

Investment advisory compliance

Regulatory environment

Leadership & collaboration

Policy development

Education

Bachelor's degree

JD or advanced degree preferred

Job description

Senior Compliance Officer
Financial services
New York , New York
Permanent
Feb 19, 2025

The Senior Compliance Officer will support the Alternative business. This includes investments in Direct Real Estate, Infrastructure Debt, and Private Credit.

• Create policies and procedures that adhere to federal securities laws, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, and the Commodity Exchange Act


• Maintain expertise in the regulatory environment and industry practices


• Ensure timely escalation, evaluation, investigation, and resolution of compliance issues


• Review and approve new product offerings


• Conduct annual risk assessments of business controls


• Collaborate with the senior management team on global and regional projects, including implementing regulatory requirements, conducting training sessions, and coordinating the annual risk assessment process


• Lead initiatives to implement best practices

We are looking for:

• 7+ years of investment advisory compliance experience; expertise in Alternative products (direct real estate, private credit, and infrastructure) preferred.


• Bachelor's degree at a minimum is required; Advanced degrees including JD are preferred.


• Legal or compliance experience with knowledge of the Investment Advisers Act, Investment Company Act, and other regulations for investment management operations.

NY Headquarters
1430 Broadway, 13th Floor
New York, New York 10018