|This position is responsible for providing strategic direction for the Company’s various compliance programs, making recommendations to enhance current assessment models, and support the Compliance leadership team. Additional responsibilities include ensuring compliance with our policies and procedures and other governing standards or requirements. Employees in this role will promote ethical behavior, facilitate ethical decision-making, and contribute to compliance management activities and functions in support of the company. |
A Master’s Degree is strongly preferred for this position.
- General knowledge of Advisors Act of 1940 and related regulations; experience with lobbying rules and filings.
- Experience with compliance and oversight of open-ended funds and fund management.
- Understanding of and experience overseeing compliance with the Foreign Corrupt Practices Act and anti-money laundering laws preferred.
- Excellent customer service and interpersonal skills; ability to relate to others along with professional verbal and written communication skills while responding effectively to sensitive inquires or complaints.
- Ability to maintain confidentiality required.
- Ability to use a personal computer and advanced working knowledge of email, Microsoft Word, Excel, and ability to use general office equipment, such as telephone, fax machine, printer, and copier.
- Highly organized, detail oriented, with strong time management, research, and analytic skills.
- Ability to multi-task, make quick and effective decisions, set and meet goals, and consistently meet deadlines.
- Ability to be flexible and quickly adapt to changing business needs and processes.
- Strong leadership skills, interpersonal skills, and initiative are imperative for this position. Must be approachable and able to work effectively with various personality types.
- 7 to 10 years’ experience in similar position preferred. Experience in financial services or private equity a plus.