What are the responsibilities and job description for the Senior Compliance Officer position at Cardea Group?
Senior Compliance Officer (New York, NY): Our client, a leading investment firm, is seeking a mature and accomplished Compliance Officer to join their team. Stepping into a newly created position, the Compliance Officer will work with the CCO of the Credit business and have clear visibility to all of Senior Management while assisting with the training and mentoring of a junior staff member.
Key Points:
- Firm is actively growing and deploying capital
- Credit team is known as a close-knit group who value legal and compliance
- Excellent benefits, stability and a collegial work environment
- Opportunity for exposure to all compliance areas within the firm
Responsibilities:
- Perform compliance testing across the program; create compliance risk matrix and operational risk matrix
- Research securities laws to properly update the compliance manual and policies
- Assist with trade surveillance, reviewing marketing materials, and preparing board materials
- Collaborate with the team to prepare regulatory filings
- Oversee new employee compliance training and communicate with third parties regarding compliance
- Organize credit legal documents inclusive of IMAs, JVs, LPAs, etc.
- Train and mentor the junior compliance analyst alongside the CCO
- Represent the Compliance department with business partners
Qualifications:
- 5-10 years of previous relevant regulatory compliance experience within the finance space preferably with experience across a credit platform
- Bachelor's Degree; JD strongly preferred
- Experience with the Investment Company Act of 1940 is desirable, although the platform has both private and public vehicles, in addition to SMAs.
- Knowledge and experience with compliance testing and regulatory filings desired
- Ability to work independently and alongside a team is required
- Comfortable working in a fast-paced environment, with a keen sense of prioritizing workload and time sensitive projects; strong attention to detail and organizational skills
Compensation: $200k-250k base salary competitive bonus
Job Reference #3505632
Salary : $200,000 - $250,000