Chief Compliance Officer

Manhattan Permanent USD200,000 - USD275,000
  • Opportunity to join a leading credit & fixed income investment manager
  • Client will move quickly with qualified candidates

About Our Client

Our client is a global credit manager with $23 billion AUM. They have focus on opportunistic investing in credit and fixed income markets globally. Our client is located in Manhattan, NY and are currently operating on a Hybrid schedule.

Job Description

Key Responsibilities:

  • Perform ongoing monitoring and approval of Personal Trading, Gifts/Entertainment, Outside Activities, Political Contributions, and Code of Ethics policies & procedures
  • Manage a comprehensive compliance program
  • Responsible for annual compliance reviews, forensic testing, and management reporting on results.
  • Respond to regulatory examinations and all compliance & legal related issues
  • Prepare and maintain all regulatory filings (Form ADV, Form PF, CPO-PQR, CTA-PR, FORM D, 13f, etc.)
  • Manages day to day compliance tasks such as Trade Alerts, Watch/Restricted Lists, AML/KYC verification, and Marketing Material Reviews.
  • Work closely with firm's various functional teams on implementing, monitoring, and updating all necessary compliance policies & procedures
  • Proficiency in regulatory portals for all NFA, SEC, FCA, AIFMD filings.
  • Assist with DDQs and other investors deliverable.



MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

The Successful Applicant

Qualification:

  • BA or BS Degree; JD preferred
  • 7 plus years of Compliance experience at a Registered Investment Adviser or Investment Consulting Firm
  • Experience with design and implementation of RIA Compliance program
  • Strong working knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, The Commodity Exchange Act, SEC & CFTC/NFA Regulations, MIFID, AIFMD
  • Experience with 40 Act subadvisor responsibilities and reporting
  • Willing & Able to work on-site

What's on Offer

Offer Package:

  • Competitive Annual Salary + Bonus
  • Amazing Benefits Package
  • Hybrid Working (3-4 Days in Office)
Contact
Josh Delgado
Quote job ref
JN-022022-5281284

Job summary

Sector
Banking & Financial Services
Sub Sector
Compliance & Legal
Industry
Financial Services
Location
Manhattan
Contract Type
Permanent
Consultant name
Josh Delgado
Job Reference
JN-022022-5281284