Senior Compliance Officer - Registered Funds

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

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.