Responsibilities

• Ensure that ongoing compliance requirements are met and documented with accuracy and excellence (quarterly and / or annual requirements, ongoing requests, etc.)
• Liaise with various stakeholders to ensure that all marketing materials are compliant
• Work on integrating any tech-enabled efforts to drive compliance efficiencies
• Coordinate company-wide implementation of any new compliance requirements relevant to the firm
• Assist in compliance-related areas of client and / or vendor due diligence
• Partner with Head of Operations and General Counsel on compliance-related areas of transaction documentation
• Coordinate compliance-related employee onboarding
• Assist with any regulatory inquiries and / or examinations
• Identify process inefficiencies, and execute applicable remedies, while building consensus around these with the rest of the team
• Other operational matters, as needed and assigned

Skills & Experience

• Minimum of 2 years of experience in SEC-regulated compliance organization
• Working knowledge of the U.S. Securities and Exchange Commission’s Investment Advisers Act of 1940 and an investment advisory firm’s requirements
• Desire to work in fast-paced environment with a high attention to detail that’s at the cutting edge of investment management innovation
• Ability to work both independently and in a team environment, while taking responsibility for seeing projects through to their completion
• Excellent writing skills, including experience writing  memoranda, and procedure and policy documents
• Strong verbal communication and presentation skills
• Ability to balance multiple priorities and demands concurrently