The Compliance Officer (CO) role aims to support and facilitate Alger’s business to be conducted in compliance with applicable laws, regulations and firm policies. In addition, the CO will reinforce the firm’s culture of compliance by: providing general compliance advice and support primarily for Alger’s business; performing monitoring/surveillance; monitoring personal trading; reviewing marketing materials and assist in conducting training and on any other compliance related matters.

Duties & Responsibilities:

• Aids Compliance Department and Alger on various compliance matters
• Under supervision, helps to develop, draft and execute policies and procedures that are designed to detect and prevent violations of the federal securities laws and mitigate various types of risk, including compliance and operational risk
• Review and analyze, under supervision, various reports and business practices against the policies and procedures designed above
• Provide guidance to the business, under supervision, as necessary on compliance, client guideline interpretation and regulatory issues
• Under supervision, manages the identification, communication and tracking of regulatory changes and analyze the impact of such changes for Alger
• Under supervision, identifies potential areas of compliance vulnerability and risk and aids in development and implementation of corrective action plans for resolution of such vulnerabilities
• Under supervision, will continuously review current policies, procedures and surveillance activities to seek to modify and improve the compliance program
• Assist in administration and reporting on the Code of Ethics and personal trade pre-clearance
• Review and file marketing materials, including RFPs and due diligence questionnaires
• Assists with the development and implementation of relevant employee training

Qualifications:

• Undergraduate degree required
• D. not required but a plus
• Grade Point Average (GPA) of 3.0 or above in a 4.0 scale
• 3-5 years of compliance, risk management, or auditing experience from which knowledge in internal control and risk management was obtained
• Asset management industry experience, including mutual fund business preferred
• Knowledge of Investment Company Act of 1940, Investment Advisers Act of 1940, SEC and FINRA Rules and Regulations
• Professional writing sample may be requested at manager’s discretion

Skills:

• Sense of urgency to manage work within tight timeframes
• Proficiency in Microsoft Office products, in particular Excel
• Ability to manage multiple tasks simultaneously
• Ability to work as a contributing member of a team
• Excellent communication skills, both written and oral
• Fine attention to detail
• Knowledgeable with systems used to monitor employee personal trading
• Knowledgeable with coding and operating compliance systems employed in monitoring investment guidelines and restrictions (e.g., Charles River)

Working at Alger

Alger is an entrepreneurial, privately owned firm which encourages and empowers its employees to be intellectually curious and continually improve. We seek individuals who can think independently yet work collaboratively, are motivated to be best in class, challenge the norm and have fun while doing it. Alger values its employees and rewards them accordingly.

Alger provides ample training (see below) to employees and encourages employees to grow in their roles. This culture of continuous improvement is reflected by the fact that many Alger employees have worked at the firm for more than 10 years.

We offer a comprehensive personal wellness program that provides resources to help you take charge of your physical well-being, encourage a healthy lifestyle and better manage health care costs. Alger also provides its employees with numerous ways to save and invest, including a comprehensive 401(k) with a generous employer match, financial planning tools, automatic investing plans and more. Underlying our financial wellness program is a strong educational platform.

We’re focused on helping employees more easily manage their work and personal lives. Our life management programs include paid time off, sick leave, paid medical leave, paid parental leave, health club membership reimbursement program and helpful employee assistance programs.

To learn more about Alger, our philosophy and some of the people that drive our investment success please visit our Profiles in Success page HERE.

https://www.alger.com/Pages/ProfilesinSuccessIntroduction.aspx

Alger is proud to be an E-Verify & Equal Opportunity Employer. It is Alger’s policy to provide equal employment opportunity to all employees and applicants for employment. No qualified applicant or employee of Alger shall be discriminated against in employment on the basis of race, national origin, ancestry, religion, gender (including gender identity and gender expression), mental or physical disability, age, sex, sexual orientation, genetic information, military or veteran status, or any other status protected by law (“Protected Characteristic”). This Policy applies to all terms, conditions, and privileges of employment, including but not limited to, hiring, compensation, benefits, promotion, and termination.

Note: This job description should not be construed to imply that these requirements are the exclusive standards of the position. Incumbents will follow any other instructions, and perform any other related duties, as may be required. The employer has the right to revise this job description at any time. This job description is not to be construed as a contract for employment.

Website: www.alger.com

Fred Alger & Company, LLC is an Equal Opportunity Employer.