Compliance Officer - Regulatory

• A leading asset management firm is seeking an experienced Compliance Officer for its New York office. This role will report to the Deputy Chief Compliance Officer and work closely with both the Compliance and Legal Departments. The primary focus will be assisting with various regulatory filings while providing compliance oversight to both investment and non-investment staff across U.S. offices.

  Key Responsibilities:

  • Prepare and submit regulatory filings and registrations.

  • Gather and manage information for filings such as Form PF, 13G, 13H, ADV (Part 1 & 2), TIC B, SLT, and other international regulatory reports.

  • Assist with Canadian regulatory filings and registrations.

  • Oversee the Compliance Annual Review process and manage internal audit requests.

  • Support the Compliance Department in ongoing regulatory requirements.

  • Stay updated on regulatory changes and assess their impact on the business.

  • Collaborate with the Compliance team on Code of Ethics inquiries and conflict reviews.

  • Update compliance manuals as necessary.

  • Assist in reviewing internal marketing materials to ensure compliance.

  • Respond to compliance inquiries and provide oversight and guidance to investment and non-investment teams.

  • Help enforce compliance policies and procedures.

  Qualifications & Experience:

  • Bachelor’s degree required.

  • Minimum 10 years of compliance or legal experience with an investment adviser or broker-dealer.

  • Management experience required.

  • Strong organizational and research skills.

  • Ability to manage multiple tasks effectively.

  • Self-motivated with the ability to work independently in a high-intensity environment.

  • High standard of professionalism in interactions with internal staff, external partners, clients, and regulatory agencies.

  • Strong written and verbal communication skills.

  • Outstanding attention to detail.