Compliance Supervisor, Code of Ethics

Sands Capital-posted 3 months ago
$160,000 - $185,000/Yr
Full-time • Mid Level
Arlington, VA
Funds, Trusts, and Other Financial Vehicles
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Sands Capital is seeking a Compliance Supervisor who will manage, administer, and facilitate the organization's Code of Ethics program and work collaboratively with Sands Capital's Compliance team to build and manage other aspects of Sands Capital's compliance program with respect to the three investment advisers that comprise Sands Capital - Sands Capital Management, Sands Capital Alternatives, and Sands Capital Horizons. The individual will work in conjunction with staff members firmwide to mitigate risks to Sands Capital and seek to enhance compliance program processes and related books and records requirements.

  • Design and develop the Code of Ethics program, including advising on policy changes and managing the Code of Ethics management system.
  • Lead the creation of related monitoring and testing activities and act as the primary point of contact for staff members on Code of Ethics matters.
  • Manage day-to-day activities related to the Code of Ethics policy, including personal trading, gifts and entertainment, political contributions, and compliance certifications.
  • Maintain and ensure that all staff member and firm information is up to date in the Code of Ethics management system.
  • Oversee the functionality and effectiveness of Code of Ethics systems and manage relationships with third-party compliance software service providers.
  • Organize, maintain, and enhance the compliance program's books and records, and draft and update written desktop procedures.
  • Conduct new staff member training on the firm's Code of Ethics policies and procedures.
  • Identify and document conflicts of interest and assist in the review of investor-facing disclosures.
  • Conduct forensic testing activities for Code of Ethics as part of the annual review.
  • Assist with responding to regulatory inquiries, examinations, and external audits.
  • Participate in the implementation and completion of strategic projects that enhance Sands Capital's compliance program.
  • Undergraduate degree from an accredited university (JD preferred).
  • 8-10+ years of relevant compliance experience at an investment management firm or prior regulatory advisory consulting experience.
  • Direct experience addressing or managing an investment adviser's code of ethics program.
  • Working knowledge of the Investment Adviser's Act of 1940 preferred.
  • Highly organized and detail-oriented.
  • Ability to develop expertise in new technological systems.
  • Excellent drafting, reasoning and analytical capabilities.
  • Strong work ethic, time management skills, and the ability to work independently.
  • Strong verbal and written communication skills.
  • Excellent knowledge of Microsoft Office (specifically, Excel, Word, and PowerPoint).
  • Base salary range of $160,000 - $185,000.
  • Discretionary, performance-based bonus.
  • Medical insurance including a discount vision program.
  • Dental insurance.
  • Life and personal accident insurance.
  • Short- and long-term disability insurance.
  • Flexible spending accounts (medical and dependent).
  • Paid stock market (NYSE) holidays.
  • Vacation, sick, and parental leave.
  • Medical concierge service.
  • Health and wellness coaches.
  • Personal finance support.
  • Onsite massage therapy.
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