Senior Manager, Asset Management Compliance - Alternatives Manager Oversight
About The Position
The Senior Manager, Asset Management Compliance will perform Operational Due Diligence (ODD) of third-party fund managers of alternative investment products on behalf of the CCOs, other governing bodies, and investors. Compliance oversight programs require continuous assessment of improvement opportunities and regulatory changes. The compliance environment must be proactively evaluated to assess strengths or weaknesses of controls that support products and services. The successful senior manager will foster strong partnerships with key business partners to support the expansion of solutions-based products and fund offerings, particularly in the alternatives asset class.
Requirements
- Bachelor’s degree or equivalent
- 5+ years of compliance, risk, and/or regulatory experience in the financial services industry
- Strong understanding of the federal securities laws including the Investment Advisers Act of 1940
- Excellent verbal, written, and interpersonal communication skills
- Strong analytical and problem-solving skills with an ability to understand complex issues and regulatory requirements and to provide clear and concise point of view in written and verbal communications, including to senior management
- Drive to evaluate opportunities for improvements in process through technology solutions
- Strong organizational skills and attention to detail, with a proven ability to succeed in a fast-paced environment
Nice To Haves
- Experience supporting alternative investment products and/or private funds
Responsibilities
- Perform Operational Due Diligence (ODD) of third-party fund managers of alternative investment products.
- Continuously assess improvement opportunities and regulatory changes within compliance oversight programs.
- Proactively evaluate the compliance environment to assess strengths or weaknesses of controls.
- Foster strong partnerships with key business partners to support the expansion of solutions-based products and fund offerings.
- Conduct due diligence questionnaires, periodic check-ins, and onsite visits.
- Report to Chief Compliance Officers (CCOs), Steering Committees, and Boards.
Benefits
- Comprehensive health care coverage
- Emotional well-being support
- Market-leading retirement
- Generous paid time off
- Parental leave
- Charitable giving employee match program
- Educational assistance including student loan repayment
- Tuition reimbursement
- Learning resources to develop your career
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What This Job Offers
Job Type
Full-time
Career Level
Senior
