Job Description

The Senior Compliance Officer will support the Alternative business lines and provide guidance relating to products including Direct Real Estate, Infrastructure Debt and Private Credit.

Role Details

As a Senior Compliance Officer, you will:

• Provide guidance, advice and support to the Alternatives businesses
• Develop compliance policies and procedures to ensure compliance with federal securities laws, including the Investment Advisers Act of 1940, Investment Company Act of 1940 and Commodity Exchange Act.
• Maintain current expertise on the regulatory environment and industry practice; provide advice to the business on the implementation of new regulations.
• Ensure that any compliance issues or concerns are appropriately escalated, evaluated, investigated, and addressed in a timely manner.
• Review and approve new product offerings to ensure compliance with applicable policies and procedures and regulatory requirements, as well as, identify and log any conflicts of interests.
• Conduct the annual risk assessments of the business’s controls relating to compliance owned risk types.
• Monitor business owned controls and administer independent compliance controls to demonstrate compliance with firm policies and federal securities laws.
• Work closely with the senior management team in Compliance on various global and regional projects and initiatives including, but not limited to, implementation of regulatory requirements; annual compliance and ad hoc training sessions; and coordination of the annual risk assessments process.
• Lead department-wide initiatives to ensure that best practices are shared and implemented within Business Line Compliance globally and across the business lines.
• Support the business in developing appropriate controls and procedures to mitigate business and product specific risks.

Requirements:

• 7+ years of investment advisory compliance experience; expertise in Alternatives products including direct real estate, private credit and infrastructure products preferred .
• Minimum bachelor’s degree in business, finance or related field required; JD or other advanced degree preferred.
• Previous relevant legal or compliance experience with knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940 and other regulations applicable to investment management operations.
• Strong strategic, problem solving and analytical skills.
• Strong people skills, leadership qualities and communication skills.
• Ability to work on multiple projects in a fast-paced environment.
• Independent Self-Starter – the ability to organize workload and meet deadlines, work independently and as part of a team.

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