Senior Compliance Officer

Ardian • New York, NY

69d

About The Position

Ardian's compliance team is responsible for ensuring that the firm complies with all applicable regulatory requirements. The Senior Compliance Officer will assist the US compliance team in all aspects of the compliance program for an SEC registered adviser. Additionally, the Senior Compliance Officer will work on global regulatory topics within the framework of the Ardian compliance team.

Requirements

• 3-5 years of experience in an investment advisor and/or broker/dealer
• Bachelor's Degree; JD preferred
• Experience with regulatory filings (e.g. Form ADV and Form PF preferred)
• Strong command of full suite of compliance responsibilities with the ability to drive and lead projects
• Excellent judgment and ability to communicate with all levels of professionals
• Proactive, driven and mentality of excellence

Responsibilities

• Prepare regulatory filings, administer the firm's compliance program, and oversee Code of Ethics
• Participate in the compliance aspects of the Firm's newly registered '40 Act Fund
• Review marketing materials for both SEC and FINRA compliance
• Drive compliance initiatives across various areas of the program depending on regulatory trends
• Conduct compliance controls and testing and update policies/procedures
• Partner with compliance consultants to conduct mock audits and heed advice on regulatory updates

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Industry: Securities, Commodity Contracts, and Other Financial Investments and Related Activities
• Number of Employees: 1,001-5,000 employees