Compliance Officer, VP
About the Company
Internationally acclaimed fixed-income investment management firm
Industry
Investment Management
Type
Privately Held
Founded
1971
Employees
1001-5000
Categories
Business Classifications
About the Role
The Company is in search of a Compliance Officer to join its global compliance team. The successful candidate will be responsible for supporting the development and implementation of the U.S. Registered Funds compliance program, ensuring adherence to regulatory standards and internal policies. This role involves collaborating with the Legal and Compliance Department to evaluate risks, participating in the Fund's risk assessment and testing program, and assisting with the oversight of the Fund's service providers. The Compliance Officer will also be involved in preparing reports for the Board of Independent Trustees, addressing regulatory matters, and upholding the company's values and ethical principles. Applicants for the Compliance Officer position at the company should have a Bachelor's degree or equivalent, with approximately 3-5 years of work experience focused on Registered '40 Act products. A strong background in fixed income, alternatives, derivatives, commodities, and equity strategies is essential. The role requires excellent communication, presentation, analytical, and issue-spotting skills, as well as the ability to balance regulatory standards with a practical business perspective. The ideal candidate will be a highly motivated self-starter, with exceptional organizational skills, and the ability to work effectively in a global organization. Proficiency in the MS Office Suite is necessary, and knowledge of regulatory requirements applicable to U.S. investment managers and broker-dealers, including the Investment Company Act of 1940 and Investment Advisers Act, is a plus.
Hiring Manager Title
Chief Compliance Officer
Travel Percent
Less than 10%
Functions
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