Ardian
Job Purpose:
Ardian's compliance team is responsible for ensuring that the firm complies with all applicable regulatory requirements. The Senior Compliance Officer will assist the US compliance team in all aspects of the compliance program for an SEC registered adviser. Additionally, the Senior Compliance Officer will work on global regulatory topics within the framework of the Ardian compliance team.
Job Responsibilities:
Prepare regulatory filings, administer the firm's compliance program, and oversee Code of Ethics Participate in the compliance aspects of the Firm's newly registered '40 Act Fund Review marketing materials for both SEC and FINRA compliance Drive compliance initiatives across various areas of the program depending on regulatory trends Conduct compliance controls and testing and update policies/procedures Partner with compliance consultants to conduct mock audits and heed advice on regulatory updates Education and Experience:
3-5 years of experience in an investment advisor and/or broker/dealer Bachelor's Degree; JD preferred Experience with regulatory filings (e.g. Form ADV and Form PF preferred) Strong command of full suite of compliance responsibilities with the ability to drive and lead projects Excellent judgment and ability to communicate with all levels of professionals Proactive, driven and mentality of excellence Communication Scope:
(Identify the level and nature of internal and external contacts with whom this job must interact regularly. Describe the reason and frequency of their communication)
Work with all internal teams (investments, fund finance, product, investor relations, private wealth, etc.) Communicate with third party service providers Management Scope:
(if applicable)
Total number of direct reports: 0 Total number of indirect reports: 1
Ardian's compliance team is responsible for ensuring that the firm complies with all applicable regulatory requirements. The Senior Compliance Officer will assist the US compliance team in all aspects of the compliance program for an SEC registered adviser. Additionally, the Senior Compliance Officer will work on global regulatory topics within the framework of the Ardian compliance team.
Job Responsibilities:
Prepare regulatory filings, administer the firm's compliance program, and oversee Code of Ethics Participate in the compliance aspects of the Firm's newly registered '40 Act Fund Review marketing materials for both SEC and FINRA compliance Drive compliance initiatives across various areas of the program depending on regulatory trends Conduct compliance controls and testing and update policies/procedures Partner with compliance consultants to conduct mock audits and heed advice on regulatory updates Education and Experience:
3-5 years of experience in an investment advisor and/or broker/dealer Bachelor's Degree; JD preferred Experience with regulatory filings (e.g. Form ADV and Form PF preferred) Strong command of full suite of compliance responsibilities with the ability to drive and lead projects Excellent judgment and ability to communicate with all levels of professionals Proactive, driven and mentality of excellence Communication Scope:
(Identify the level and nature of internal and external contacts with whom this job must interact regularly. Describe the reason and frequency of their communication)
Work with all internal teams (investments, fund finance, product, investor relations, private wealth, etc.) Communicate with third party service providers Management Scope:
(if applicable)
Total number of direct reports: 0 Total number of indirect reports: 1