Our client is an asset management firm focusing on credit strategies with over $40 billion in AUM.
Responsibilities
Coordinate across the firm on fund and managed account compliance and regulatory matters including SEC and CFTC registrations, ERISA, and federal, state and international securities laws
Review marketing materials, due diligence responses, investor communications and other fundraising and reporting related materials across various investment strategies
Coordinate and prepare U.S. and foreign regulatory reports and filings
Assist with forensic testing for annual compliance review
Assist with the compliance monitoring program including testing of investment guidelines and employee compliance requirements
Support selected firm-wide legal and compliance initiatives
Requirements
Bachelor’s degree required
3-7 years of experience in a compliance role
J.D. required
Understanding of federal securities law and regulations strongly preferred
Experience with private fund marketing or distribution compliance a plus
Experience using compliance software/programs that support monitoring, reporting, and risk assessment activities
Ability to interpret legal and business terms and grasp concepts quickly
Salary Range
$150,000-$200,000
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Business Development and Sales
Industries
Staffing and Recruiting
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