Senior Compliance Officer

Blacklock Group; United States; Vor Ort; USD 140.000 - 230.000; Vollzeit

Zusammenfassung

Blacklock Group in New York is seeking a Senior Compliance Officer to lead a hands-on program reporting to the Chief Compliance Officer. The role will cover monitoring, testing and surveillance, ensuring SEC compliance, and managing ethics programs for investments.

The ideal candidate has senior compliance experience within an investment adviser, strong Code of Ethics expertise, and a track record applying AI within compliance functions to enhance oversight.

Qualifikationen

• Senior compliance experience within an investment adviser.
• Strong Code of Ethics experience.
• Proficiency with AI within compliance functions.

Aufgaben

• Oversee compliance monitoring, testing and surveillance activities.
• Ensure adherence to Investment Advisers Act and SEC regulatory requirements.
• Manage compliance for alternative investments and private/pooled vehicles.
• Review client and investment management agreements; administer Code of Ethics.
• Oversee third-party sub-adviser and vendor oversight; monitor electronic communications and social media.
• Develop and maintain policies, procedures and supervisory controls.
• Support SEC examinations and the 206(4)-7 annual compliance review.

Kenntnisse

Senior compliance

Code of Ethics

AI in compliance

Jobbeschreibung

I’m working with a highly regarded Investment firm in New York that is looking to add a Senior Compliance Officer to its growing team.

This is a hands-on role reporting directly into the CCO.

The role will cover:

• Compliance monitoring, testing and surveillance
• Investment Advisers Act / SEC regulatory requirements
• Alternative investments and private/pooled investment vehicles
• Client and investment management agreements
• Code of Ethics administration
• Third-party sub-adviser & vendor oversight
• Electronic communications and social media review
• Policies, procedures and supervisory controls
• Supporting SEC examinations and the annual 206(4)-7 compliance review

Ideal background:

• Senior compliance experience within an investment adviser
• Strong Code of Ethics Experience
• Strong with AI within compliance functions