Compliance Officer – Structured Transactions

Overview

• Serve as a Compliance Officer specializing in structured transactions, ensuring adherence to regulatory requirements and industry standards.
• Develop expertise in structured products, including SPVs, CLOs, and other complex investment vehicles.
• Collaborate with transaction teams to address compliance implications and regulatory obligations effectively.
• Support the administration of RIA compliance programs, including manuals, risk assessments, and regulatory reviews.
• Monitor regulatory developments, translating them into actionable policies and procedures.
• Assist with compliance program administration for real estate business activities.
• Ensure compliance with SEC Custody Rule requirements and review client communications for regulatory adherence.
• Contribute to the strategic priorities of the compliance function, defining metrics and evaluating progress.

Key Responsibilities & Duties

• Develop and maintain expertise in structured product compliance, including SPVs and CLOs.
• Identify compliance implications for transactions and communicate requirements effectively to stakeholders.
• Support Chief Compliance Officers in administering RIA compliance programs.
• Monitor regulatory developments and implement firm policies accordingly.
• Assist with compliance program administration for real estate business activities.
• Ensure adherence to SEC Custody Rule requirements and review communications for regulatory compliance.
• Collaborate with cross-functional teams to promote alignment and compliance effectiveness.
• Provide leadership in influencing and negotiating compliance outcomes across levels and functions.

Job Requirements

• Bachelor of Science (BS) degree required; Juris Doctor preferred.
• 10+ years of financial services experience, including corporate transaction or legal/compliance roles.
• Deep understanding of CLOs, structured credit, and fixed income products.
• Strong knowledge of RIA regulatory requirements and federal securities laws.
• Proficiency with compliance technologies, including AI-enabled tools and data analytics platforms.
• Demonstrated ability to develop and implement process improvements effectively.
• Skilled at building relationships and collaborating with senior stakeholders.
• Authorized to work in the US without visa sponsorship or transfer.