Compliance Manager - Asset Management

Job Title: Compliance Manager - Asset Management
Contract Type: Permanent
Location: New York
Salary: US$75000.00 - US$135000.00 per annum + bonus
Reference: BBBH14334_1489666603
Contact Name: Ben Ellison
Contact Email:
Job Published: March 16, 2017 12:16

Job Description

Our client, a leading global alternative asset manager (100+ bln aum), is looking for a senior Analyst/ Manager in New York. You will be working closely with the CCO

The main responsibility will be to:

  • assist on all aspects of the compliance program required for an SEC-registered investment adviser, with an emphasis on reviewing marketing material and various elements of the 206(4)-7 annual testing and monitoring program in accordance with the US Investment Advisers Act of 1940 (the "Advisers Act") and the US Investment Company Act of 1940 (the "Company Act");
  • assess the impact of material regulatory developments throughout the Americas and assist in implementation of new policies, procedures and controls across the different businesses;
  • helping to coordinate regulatory examinations.

The role will suit a highly motivated, entrepreneurial professional with an appetite to learn and a desire to work in a fast paced international environment. Compensation is competitive and commensurate with industry experience.

For more information, please contact Benjamin Ellison on 646 766 1212 or ben.