Excellent opportunity with a great organization in the NYC area. This role will primarily assist with the compliance program in managing legal, regulatory and compliance risks associated with the Asset Management business. Additionally, you will work collaboratively with the global compliance team on other related compliance issues at the organization.
RESPONSIBILITIES INCLUDE: • Maintain and update compliance policies and procedures related to the asset management activities within the organization. • Review various regulatory filings, including those with the SEC, National Futures Association, and other global regulatory agencies. • Deal with KYC and AML / ATF / sanctions procedures when needed • Maintain and update controls designed to achieve compliance with various Capital Partners offering documents as determined by the legal team of Capital Partners • Maintain and update compliance requirements arising from relevant global regulators applicable to the business • Monitor new legal and regulatory developments, assess applicable risk and update policies and procedures. • Conduct risk assessments; recommend risk mitigation techniques and control • Maintain the required compliance and corporate records • Respond to any regulatory inquiries
QUALIFICATIONS, SKILLS & EXPERIENCE: • BS/BA degree in Business or related field required • 2-5 years of experience in a compliance function for Registered Investment Adviser (RIA) • Some knowledge of securities laws that relate to investment advisers (e.g., Investment Advisers Act, Investment Company Act, Securities Act, Commodities Exchange Act) • Ability to perform in a team-oriented, collaborative business environment • Excellent communication skills; Strong attention to detail