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Compliance Officer

  • Location: New York
  • Salary: $Competitive$
  • Job type: Permanent
  • Job reference: gc/167833
  • Sector: Regulatory Compliance , Asset management/Funds
Job Description

A global asset manager is looking for a Compliance Officer to play a lead role in a growing compliance team in the United States. Headquartered internationally, the U.S. is expanding its book of business and is seeking to strengthen its compliance function given increased regulatory oversight, so this person will have wide exposure and deep business immersion from a compliance perspective. The role will report into the U.S. Head of Legal & Compliance.  

 

The role will be responsible for providing compliance expertise across a range of asset management compliance matter including working across Advisers Act requirements including drafting Firms, SEC/CFTC filings, forms ADV and assisting with global filings. The role will take responsibility for the U.S. Compliance Manual, compliance training, as well as conducting forensic and compliance testing and monitoring work, assisting with the risk assessment program and maintaining the investor universe from a regulatory perspective. Liaison both internally and externally will be broad - internally you will have instant exposure to senior members of staff who you will work closely with in the provision of compliance advice and you will also be the point person for managing outside counsel on a variety of projects.  


You will:

 

 

- hold a JD

- ideally have experience within compliance in an asset management environment 

- have understanding of the Advisors Act and other regulations pertaining to asset management firms

 

This is an outstanding opportunity to work in a fast-paced environment across a range of projects - whilst the firm is large, the U.S. office is smaller and high-growth so you will get wider exposure to a broad spectrum of the firm's activity, and a robust understanding of the compliance landscape as it affects asset management and investments.

 

If you would like to get in touch for more details, please email gc@barclaysimpson.com

 

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