Buy-Side Compliance

Overview

• Lead the compliance program for a prominent financial services firm, ensuring adherence to regulatory standards and operational excellence.
• Serve as the principal compliance advisor for the warehouse lending business, providing strategic guidance and oversight.
• Draft and manage the Annual Compliance Report, ensuring accuracy and compliance with industry regulations.
• Oversee the filing of Form ADV and other regulatory documentation, maintaining compliance with the Investment Advisers Act of 1940.
• Collaborate with internal teams to enhance compliance processes and address structured credit transaction requirements.
• Contribute to the development of compliance strategies, leveraging institutional asset management experience and regulatory knowledge.

Key Responsibilities & Duties

• Establish and manage the day-to-day operations of the compliance program, ensuring regulatory adherence and operational efficiency.
• Draft and oversee the Annual Compliance Report, ensuring comprehensive documentation and compliance accuracy.
• File Form ADV and other regulatory documents, maintaining compliance with applicable laws and regulations.
• Provide compliance advisory services to the warehouse lending business, addressing regulatory and operational challenges.
• Collaborate with internal teams to enhance compliance processes and address structured credit transaction requirements.
• Ensure strict attention to detail and prioritize tasks effectively to meet regulatory deadlines and organizational goals.
• Demonstrate strong problem-solving skills and initiative to address compliance challenges and drive successful outcomes.

Job Requirements

• Bachelor of Science degree required, with a focus on finance, law, or related fields preferred.
• Minimum of 4 years of relevant experience, preferably in regulatory or institutional asset management roles.
• Comprehensive knowledge of the Investment Advisers Act of 1940 and structured credit transactions.
• Exceptional organizational and prioritization skills, ensuring accuracy and compliance in all tasks.
• Strong internal client relationship skills and results-oriented approach to compliance management.
• Demonstrated problem-solving abilities and willingness to take initiative in compliance operations.
• Hybrid work arrangement, requiring presence in the office at least four days per week.