Location: Fairfield County, CT (on-site)
Compensation: $200k-$225k base + Bonus
Key responsibilities include:
• Ensure ongoing adoption, implementation and management of policies, procedures and controls to comply with regulatory requirements, including the Investment Adviser Act of 1940 and Investment Company Act of 1940, as well as other applicable federal securities laws (“Federal Securities Laws”);
• Manage regulatory filings, including ad hoc filings and regular periodic SEC filings (such as Form PF, N-CSR, Form ADV, N-CEN and other such filings);
• Conducting ongoing testing of various policies and procedures, including preparing and reviewing materials for the annual compliance review;
• Assembling compliance reports for various meetings, including the board of directors; and
• Work and coordinate with service providers, including transfer agents, fund accountants, and auditors, as well as with internal constituents.
Qualifications:
The ideal candidate will have the following qualifications:
• At least 7-10 years of regulatory compliance experience, with a focus on credit markets, including deep knowledge of the Investment Adviser Act of 1940, Investment Company Act of 1940 and other Federal Securities Laws.
• Strong organizational skills and a keen attention to detail.
• Ability to understand complex issues and to provide clear and concise explanations in written and verbal communications.
• Ability to issue spot and work independently to develop solutions.
• The ideal candidate is pro-active, team-oriented and able to work independently on daily items and execute longer-term projects, subject to the general oversight of the firm’s Chief Compliance Officer.
