Compliance Officer

• A Compliance Officer is sought to join the Legal and Compliance team. The successful candidate will provide key compliance guidance, oversee monitoring and testing activities, and support various regulatory and operational functions. This role requires a proactive, resourceful individual with excellent communication and interpersonal skills.

  Responsibilities

  • Serve as a compliance adviser on investment-related matters, including best execution, trade allocation, cross trades, new issues, and insider trading.

  • Offer clear, timely, and creative compliance guidance on existing products and new product launches.

  • Create and deliver compliance training sessions as needed.

  • Build and maintain professional relationships with internal teams and stakeholders.

  • Support compliance monitoring and testing under regulatory frameworks such as 206(4)-7 and 38a-1.

  • Stay informed on regulatory developments and industry best practices related to investment activities.

  • Conduct due diligence on third-party subadvisors, vendors, and service providers.

  • Assist in trade oversight, liquidity, and valuation committee activities.

  • Perform e-communication surveillance and escalate findings as necessary.

  • Support the portfolio compliance monitoring program, including reviewing product documentation, investment guideline warnings, and alerts.

  • Review proposed press releases and RFP responses related to portfolio activities.

  • Contribute to special projects and ad hoc assignments as required.

  Qualifications

  • Bachelor’s degree, preferably in business or a related field; an advanced degree is a plus.

  • A minimum of 5 years of compliance or regulatory experience within asset management.

  • Series 7 and 24 licenses preferred.

  • Strong knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.

  • A proactive self-starter with the ability to manage multiple priorities effectively.

  • High level of personal accountability and a strong work ethic.

  • Excellent judgment with the ability to handle complex business matters fairly and consistently.

  • A collaborative team player with strong relationship management skills.