Senior Compliance Officer, L&G - Asset Management, America
About The Position
We are seeking an experienced Senior Compliance Officer to support the firm’s investment management compliance program with responsibility for compliance monitoring and testing, policy and procedure development, and regulatory reporting while assisting the broader Compliance Team with ongoing compliance projects. The successful candidate will be a hands-on compliance professional who is comfortable both executing core compliance responsibilities and helping design and enhance a growing compliance framework across both public and private investment strategies. The individual should be intellectually curious, commercially aware and enjoy building programs rather than simply administering established processes.
Requirements
- A minimum of 5 years of asset management industry compliance experience required with an SEC-registered investment adviser.
- Knowledge of Investment Advisers Act of 1940, Investment Company Act, and CFTC/NFA rules and the compliance obligations applicable to registered investment advisers.
- Strong policy and procedure drafting skills.
- Experience with private credit, real estate, provide equity or other private-market strategies strongly preferred.
- Excellent written and verbal communication skills.
- Strong judgment, attention to detail and ability to independently manage multiple priorities.
- Ability to do risk-based compliance analysis, with a practical and commercial approach to problem solving, required
- Collaborative, team-oriented work ethic and commitment to building an inclusive and diverse team culture required
Nice To Haves
- Experience with private credit, real estate, provide equity or other private-market strategies strongly preferred.
Responsibilities
- Draft, review and maintain compliance policies and procedures and support the annual 206(4)-7 annual compliance program review.
- Develop, perform and document risk-based compliance monitoring and forensic testing including market abuse surveillance, best execution testing, fee and expense allocation testing, allocation analysis, cross trade oversight and other investment compliance matters.
- Lead the continued build-out of the compliance program for the firm’s private markets and real assets activities including development of policies, procedures, monitoring and testing to address affiliated transactions, conflicts of interest, valuation and pricing, investment allocation and MNPI.
- Assist with regulatory reporting and filings including Form ADV, Form PF, CPO-PR and CPO-PQR, CFTC Form 40, DOL forms, FINRA filings and Canadian regulatory filings.
- Support SEC examinations and other regulatory inquiries, including coordinating document and information requests.
- Support oversight of the firm’s Code of Ethics and personal trading program, including pre-clearance, holdings, certifications, exceptions and investigations.
- Provide day-to-day compliance guidance to investment, trading, operations and other business teams.
- Lead on preparation of annual compliance risk assessment, including identifying emerging compliance risks and enhancements to the firm’s compliance framework.
- Assist the broader Compliance team with ongoing projects, as necessary, which may include regulatory engagement, email surveillance, marketing compliance, conflicts management, compliance training, and preparation of materials for compliance and governance committees.
- Assist the GC/CCO in maintaining and ensuring a “culture of compliance” of all staff.
Benefits
- health insurance with an optional HSA
- short term disability
- long term disability
- dental insurance
- vision care
- life insurance
- Healthcare, Dependent and Limited Care Flexible Spending Accounts
- 401K
- vacation
- sick time
- an employee assistance program
- commuter and transit programs
- supplemental health benefits including accidental injury, critical illness and hospital indemnity insurance
- pet insurance
- annual discretionary bonus plan
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What This Job Offers
Job Type
Full-time
Career Level
Senior
Education Level
No Education Listed
