Compliance Officer - Lead Expert Networks
An established asset management firm is seeking an experienced Compliance Officer to join its New York office. Reporting to the Senior Compliance Counsel, this role will work closely with both the Compliance and Legal Departments. The primary focus will be leading the expert network review process and providing compliance oversight to both investment and non-investment staff across U.S. offices.
Key Responsibilities:
Serve as the lead for the expert networks team, managing requests and analyzing information.
Review and approve expert network requests from investment team members.
Chaperone expert network calls, documenting and tracking all calls and meeting notes.
Assess material non-public information (MNPI) and oversee vetting procedures.
Maintain relationships and coordinate with expert network vendors.
Update Compliance policies and procedures related to expert network activities.
Conduct new hire and annual compliance training.
Review subject matter expert meeting requests.
Support the Senior Compliance Counsel on data and research compliance matters.
Handle compliance inquiries, providing oversight and guidance to investment and non-investment staff.
Assist with the Compliance Annual Review process.
Ensure adherence to ongoing regulatory requirements and enforce compliance policies.
Escalate compliance matters to management when necessary.
Participate in ad-hoc projects as needed.
Qualifications & Experience:
Bachelor’s degree required.
5-8+ years of compliance experience.
Experience managing processes and workflows.
Compliance or legal experience with an investment adviser or broker-dealer.
Strong organizational and research skills.
Ability to manage multiple tasks efficiently.
Self-motivated with the ability to work independently in a high-intensity environment.
High standard of professionalism in interactions with internal teams, external partners, clients, and regulatory agencies.
Strong written and verbal communication skills.
Exceptional attention to detail.