AVP of Compliance (Asset Management)

Compliance Officer – Asset Management

Seeking an experienced Compliance Officer to support the administration and implementation of regulatory compliance programs for a leading asset management organization.

Key responsibilities:

• Conduct compliance testing, monitoring, and risk assessments
• Review and enhance policies, procedures, and compliance manuals
• Investigate and document compliance issues and regulatory matters
• Support regulatory filings, examinations, audits, and board reporting
• Conduct third-party and intermediary due diligence
• Assist with personal trading and employee communications reviews
• Partner with business teams and senior leadership on regulatory requirements

Qualifications:

• Bachelor’s degree with 4–6 years of relevant compliance experience
• Strong knowledge of the Investment Advisers Act and Investment Company Act
• Familiarity with FINRA, CFTC, FCA, and related regulatory requirements
• Series 7 and 24 preferred
• Excellent communication, writing, organizational, and project management skills