Chief Compliance Officer of Publicly Registered Funds, SVP/ MD

 New York [On-Site]



The registered funds unit of a top asset manager is looking for a new business-minded Chief Compliance Officer experienced with various publicly registered funds (e.g., mutual funds, ETFs, closed end funds and UCITS). This would be a fantastic next move to further propel your career. In this role, your responsibilities include: Owning and leading compliance and regulatory policies, procedures, controls, and training; Developing compliance monitoring and testing programs across multiple funds, investment strategies and asset classes; Advising investment professionals and senior management on compliance matters; Leading internal proactive examinations and responses to requests from regulators; and Leading compliance and regulatory matters including: SEC and CFTC registrations, ERISA, and federal, state and international securities laws. You should have: 8+ years of experience as a compliance officer in the asset management industry, focusing on publicly registered funds; and Outstanding relationship-building skills with stakeholders of all backgrounds and should approach problems in a business-minded and practical manner.