Jobot
Overview
Compliance Manager, Investment Management. This confidential search focuses on the Capital Markets business with emphasis on the Credit platform. The role supports the firm's compliance function and partners with investment teams, trading desks, and the broader global compliance organization. Base pay range
$125,000.00/yr - $150,000.00/yr Responsibilities
Serve as a compliance lead for the Capital Markets businesses, with emphasis on Credit products. Oversee compliance matters related to both registered funds (mutual/interval vehicles) and private funds. Manage MNPI protocols and administration of the Restricted List. Partner with investment and trading staff to advise on compliance-related questions and trading issues. Maintain regulatory filing processes and a centralized filing calendar. Work cross-functionally with finance, operations, and compliance teams to gather and verify data. Develop and implement policies, procedures, and technology solutions to enhance compliance processes. Prepare compliance reporting for registered fund/40 Act vehicles, investor DDQs, and related documentation. Support examination readiness and regulatory inquiries, coordinating with internal and external stakeholders. Assist with compliance testing, assurance matters, and committee presentations. Qualifications
6+ years of compliance or paralegal experience, preferably in asset management or investment firms. Proven track record with Form ADV and Form PF filings. Highly collaborative team player with excellent judgment, follow-through, and problem-solving skills. Company and culture
Jobot is an Equal Opportunity Employer. We provide an inclusive work environment that celebrates diversity and all qualified candidates receive consideration for employment without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws. #J-18808-Ljbffr
Compliance Manager, Investment Management. This confidential search focuses on the Capital Markets business with emphasis on the Credit platform. The role supports the firm's compliance function and partners with investment teams, trading desks, and the broader global compliance organization. Base pay range
$125,000.00/yr - $150,000.00/yr Responsibilities
Serve as a compliance lead for the Capital Markets businesses, with emphasis on Credit products. Oversee compliance matters related to both registered funds (mutual/interval vehicles) and private funds. Manage MNPI protocols and administration of the Restricted List. Partner with investment and trading staff to advise on compliance-related questions and trading issues. Maintain regulatory filing processes and a centralized filing calendar. Work cross-functionally with finance, operations, and compliance teams to gather and verify data. Develop and implement policies, procedures, and technology solutions to enhance compliance processes. Prepare compliance reporting for registered fund/40 Act vehicles, investor DDQs, and related documentation. Support examination readiness and regulatory inquiries, coordinating with internal and external stakeholders. Assist with compliance testing, assurance matters, and committee presentations. Qualifications
6+ years of compliance or paralegal experience, preferably in asset management or investment firms. Proven track record with Form ADV and Form PF filings. Highly collaborative team player with excellent judgment, follow-through, and problem-solving skills. Company and culture
Jobot is an Equal Opportunity Employer. We provide an inclusive work environment that celebrates diversity and all qualified candidates receive consideration for employment without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws. #J-18808-Ljbffr