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Alternative Investment Compliance
at The Compliance Search Group in New York
Administer and oversee all aspects for the firm’s AM Alternative Investment businesses and investment advisory activities.
Role Involves:
This person will be responsible for Compliance oversight of all aspects of a particular business line or department.
Expected to interface with central compliance teams as appropriate such as Control Room for information barrier issues, Employee Trading, Outside Interests, MNPI, etc. on matters relating to AI’s employees’ activities.
Proactively draft and implement required compliance policies and procedures relevant to market and regulatory changes
Oversee the training agenda and prepare training materials for the business
Manage discreet divisional and regional projects, as requested
Perform strategic desk reviews independently or in conjunction with a dedicated Desk and Branch Review Group
Perform annual compliance risk and conflicts assessment on behalf of AI and responsible for implementing resolutions to issues identified during this process
Assist other members of Compliance department (e.g. Trade Surveillance Group) when needed and as often as possible to expand scope of responsibilities
To Qualify, You Must Possess:
4+ years of relevant AM experience
Ability to executive projects and tasks accurately and on time.
Strong written and oral skills
Familiarity with Microsoft Excel, PowerPoint and Word are key to functioning effectively with the day-to-day tasks
Self starter with an ability to work independently with little direction or oversight. Ability to work in fast-paced environment. Ability to work in fast-paced environment.
Ability to multi-task and juggle long term and short term goals effectively.
Strong knowledge of Alternative Investment products (i.e., private equity, real estate, credit products, CLO’s, hedge funds & hedge fund of funds.
Strong knowledge of Investment Advisors Act, Securities laws and regulation.
To apply please submit your resume to Michael Lane - MLane@compliancesearch.com
Role Involves:
This person will be responsible for Compliance oversight of all aspects of a particular business line or department.
Expected to interface with central compliance teams as appropriate such as Control Room for information barrier issues, Employee Trading, Outside Interests, MNPI, etc. on matters relating to AI’s employees’ activities.
Proactively draft and implement required compliance policies and procedures relevant to market and regulatory changes
Oversee the training agenda and prepare training materials for the business
Manage discreet divisional and regional projects, as requested
Perform strategic desk reviews independently or in conjunction with a dedicated Desk and Branch Review Group
Perform annual compliance risk and conflicts assessment on behalf of AI and responsible for implementing resolutions to issues identified during this process
Assist other members of Compliance department (e.g. Trade Surveillance Group) when needed and as often as possible to expand scope of responsibilities
To Qualify, You Must Possess:
4+ years of relevant AM experience
Ability to executive projects and tasks accurately and on time.
Strong written and oral skills
Familiarity with Microsoft Excel, PowerPoint and Word are key to functioning effectively with the day-to-day tasks
Self starter with an ability to work independently with little direction or oversight. Ability to work in fast-paced environment. Ability to work in fast-paced environment.
Ability to multi-task and juggle long term and short term goals effectively.
Strong knowledge of Alternative Investment products (i.e., private equity, real estate, credit products, CLO’s, hedge funds & hedge fund of funds.
Strong knowledge of Investment Advisors Act, Securities laws and regulation.
To apply please submit your resume to Michael Lane - MLane@compliancesearch.com
Published at 23-03-2010
Viewed: 57 times
Viewed: 57 times