Senior Vice President, Compliance Officer
About the Company
Internationally acclaimed fixed-income investment management firm
Industry
Investment Management
Type
Privately Held
Founded
1971
Employees
1001-5000
Categories
Business Classifications
About the Role
The Company is a global leader in active fixed income with a strong focus on public and private markets. They are seeking a Senior Compliance Officer to join their global compliance team, with a specific emphasis on the U.S. Registered Funds 38a-1 compliance program. The role involves providing direct support to various types of registered funds, including closed-end funds, interval funds, and business development companies. The successful candidate will be responsible for implementing and adapting the compliance program to meet new regulatory requirements, conducting annual reviews of compliance policies, and procedures, and assisting in the oversight of the fund's service providers. Applicants for this role at The Company should have a Bachelor's degree or equivalent, with a JD considered a plus, and several years of relevant experience in a major financial services firm or global asset manager. A strong background in 40 Act products, such as closed-end funds, interval funds, or business development companies, is essential. The ideal candidate will have comprehensive knowledge of the regulatory frameworks applicable to U.S. investment managers and broker-dealers, including the Investment Company Act of 1940 and FINRA rules. Strong analytical skills, attention to detail, and the ability to balance regulatory requirements with business perspectives are also required. The role demands a team-oriented individual with a global mindset, cultural sensitivity, and proficiency in the MS Office suite.
Hiring Manager Title
Vice President, Senior Compliance Officer
Travel Percent
Less than 10%
Functions
...01(k) matching ~ Dental insurance ~ Health insurance ~ Life insurance ~ Paid time... ...off ~ Vision insurance ~ Employee Assistance Program Schedule: ~8 hour shift... ...emergency room. 7. Function effectively in mental health and medical emergency situations...
...hunting, horseback riding LPNT - New Mexico State Requirement All Clinical Staff on assignment in the state of New Mexico must be fingerprinted before hire and provide documentation that check is being processed Travelers may start on a 14-day waiver while waiting on...
...Job Description Job Description Job Title: Nurse Practitioner (NP) Location:KlamathFalls, OR Salary Range:$115,000 $155,00... ...obtain) Family, Adult, or Geriatricbackground preferred New graduates are encouraged to apply Benefits ~ Signing/Relocation...
...Overview Rogue Talent is hiring a Staff Security Researcher to contribute to reverse engineering and vulnerability/exploit discovery efforts for a prestigious cyber R&D institution (FFRDC) whose mission is the defense and security of the US. The ideal candidate will...
...clients in Tualatin, OR is looking for a team to start in the Assembler role! Length of the contract: 24 months (temp-to-perm) Location... ...Sat (5:00 pm - 5:30 am) PT Position Summary Navigate computer-based work instructions to install parts & hardware using hand...