Regulatory Compliance Officer (New York, NY): Our client, a $50B multi-strat fund with an international reach, is looking for a dedicated legal and compliance professional to sit in a newly established position. Acting as a generalist and with a focus on supporting the asset-based finance group, the new hire will manage key compliance-related projects and initiatives, while collaborating closely with senior and junior team members to advance projects, support business growth, and serve as a trusted advisor to the firm.
Key Points:
- Excellent opportunity to ‘make your mark’ as this is a newly created role offering growth potential and the ability to make a meaningful impact on the business.
- Highly visible role with a fair amount of autonomy.
- Firm is extremely successful, meticulously growing its investment strategies, offering diverse investment products.
Responsibilities:
- Monitor regulatory developments and establish procedures to ensure the platform's compliance with all relevant rules and regulations.
- Support the drafting of policies and procedures, as well as the development of new compliance initiatives, in response to the evolving compliance environment and business needs.
- Prepare for and respond to regulatory inquiries and examinations, preparation of regulatory reports, and testing documentation, and fulfill reporting obligations such as ADV, Form PF, and AIFMD filings.
- Review marketing and investor relations materials, assist with compliance testing and surveillance, and support transactional and counterparty KYC processes.
- Identify, escalate, and manage conflicts of interest across regional and global groups.
- Develop and deliver ongoing compliance training for employees and new hires.
Qualifications:
- J.D. with 5+ years of broad legal or regulatory experience with private funds.
- Experience with Asset Based Finance or Consumer Finance strongly desired.
- Previous in-house experience at a private fund investment adviser is preferred ideally with experience drafting policies and procedures and conducting compliance testing.
- A proactive mindset with a strong eagerness to explore new areas of the financial industry.
- Highly motivated, leads by example, and adopts a team-first attitude; self-driven and willing to collaborate across multiple offices.
- Ability to manage multiple tasks simultaneously and work under pressure, with strong analytical and problem-solving skills.
Compensation: $200-250K base; $300-400K all-in
Job Reference #2614155
