Chief Compliance Officer - Investment Adviser
Salary $180000 - $200000 per year
Location New York
Consultant Lucky Nguyen
Date posted November 15, 2016
This opportunity allows for a senior compliance officer to step into a Chief Compliance Officer position of an investment adviser here in New York City. This investment adviser has an emphasis on real estate, fixed income and private equity investments. This role would greatly appreciate someone coming from an alternative investments compliance background.
About the Chief Compliance Officer - Investment Advisory role:
In this Chief Compliance Officer role, this individual will be in a core compliance function. He/She will stay up to date on regulatory matters. Experience in the alternative investments compliance space (mutual funds, private equity funds, and/or hedge funds) will help make the ideal candidate successful. There will be an aspect of traveling to Chicago involved in this position.
- Enhance and maintain the Compliance program;
- Interface with the investment professionals, operations, and business units as appropriate, to identify and resolve conflicts of interest and address issues that arise in the conduct of business;
- Handle regulatory inquiries and manage on-site examinations;
- Prepare and conduct training;
- Chair and conduct Compliance Committee meetings;
- Participate in client due diligence meetings;
- Prepare certifications for clients and mutual fund boards;
- Be informed of and anticipate changes in regulatory regimes in each jurisdiction and implement appropriate changes to compliance practices and policies;
- Identify potential areas of compliance vulnerability and risk and lead projects relating to the enhancement of compliance procedures, policies and internal controls;
This Chief Compliance Officer position will allow you to be exposed to a wide variety of products. Ideally, someone currently in a senior level position or someone who is the deputy head of a group would most likely slot in well for this role. There will be tremendous exposure to multiple lines of business and other senior level employees within the organization.
This particular organization has been performing exceptionally well within the market. The registered investment adviser boasts over $200 Billion AUM and specializes in leveraged loans, fixed income, real estate investments and private placements.
If you are a driven and motivated senior compliance officer, this is a great opportunity to take your career to the next level.
Apply today or call me, Lucky Nguyen, on 212-704-9900