About the Company
Our client is an asset management firm focusing on credit strategies with over $40 billion in AUM.
Responsibilities
- Coordinate across the firm on fund and managed account compliance and regulatory matters including SEC and CFTC registrations, ERISA, and federal, state and international securities laws
- Review marketing materials, due diligence responses, investor communications and other fundraising and reporting related materials across various investment strategies
- Coordinate and prepare U.S. and foreign regulatory reports and filings
- Assist with forensic testing for annual compliance review
- Assist with the compliance monitoring program including testing of investment guidelines and employee compliance requirements
- Support selected firm-wide legal and compliance initiatives
Requirements
- Bachelor’s degree required
- 3-7 years of experience in a compliance role
- J.D. required
- Understanding of federal securities law and regulations strongly preferred
- Experience with private fund marketing or distribution compliance a plus
- Experience using compliance software/programs that support monitoring, reporting, and risk assessment activities
- Ability to interpret legal and business terms and grasp concepts quickly
Salary Range
$150,000-$200,000
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