What are the responsibilities and job description for the Compliance Officer position at Fernridge Group?
Title: Compliance Associate/Officer
Firm: $50B Alternative Asset Management Firm
Location: Greenwich, CT and New York, NY
Job Overview: Our client, a successful alternative asset management firm with $50B in AUM is seeking an exceptional Compliance Professional to join their compliance team.
Highlights:
- Newly created position on the credit team which is the fastest growing area of the firm
- The firm emphasizes personalized mentoring and training for new hires, aiming to develop their skills and promote from within (they recently created a formal program here!)
- Compliance is led by experienced professionals who have ample experience in the asset management world and will be excellent senior people to learn from
- Firm is dedicated to cultivating a diverse and inclusive workplace, recognizing that such an environment brings strength and effectiveness to the organization.
Responsibilities
- Assist with preparing various regulatory filings including Form ADV
- Assist with updates to Compliance Manual, Code of Ethics and other policies
- Assist in conflicts, MNPI and non-syndicate information screening and tracking
- Facilitate the compliance requirements associated with the investment process and manage investment documentation
- Oversee AML/KYC program for Credit
- Develop and implement Order Management System compliance rules for allocations and investment restrictions
- Conduct new-hire general credit training
- Oversee and escalate California lending review
- Assist in marketing review
- Support other compliance projects
Requirements
- J.D. from accredited institution helpful but not required
- Bachelor’s degree from an accredited college/university
- Minimum of three years of relevant compliance experience (financial services and Investment Company Act, a plus)
- Energetic with strong leadership, highly collaborative and strong project management skills
Compliance Officer
Partnership Employment -
New York, NY