Compliance Testing - Private Wealth Management

  • Base salary, bonus and excellent benefits
  • New York, NY, USA
  • Permanent, Full time
  • The Forum Group
  • 26 Sep 16

Our client, a preeminent diversified global financial services firm seeks to add a talented Compliance professional to it's Private Wealth management division.

Responsibilities :
The Compliance officer will work on a variety of compliance-related matters involving the investment businesses described above, Private Wealth Management, certain firm charitable activities and back office functions.
Primary job responsibilities will include:
• Assisting in the implementation of the funds’ compliance programs and service provider oversight procedures;
• Supporting ongoing compliance testing for the fund businesses, including annual and ongoing assessments of compliance programs, and creating new testing as necessary in response to regulatory or business needs;
• The review of marketing and client materials, including pitch books, regular limited partner reporting, and due diligence materials, with a particular focus on foreign marketing issues including AIFMD;
• Coordinating various SEC, CFTC and foreign regulatory filings with the appropriate fund operations and finance teams;
• Working with in-house counsel to monitor and implement responses to regulatory actions that impact the funds; and
• Interacting and assisting with funds’ investment and operational professionals regarding all fund matters.
Our client seeks to hire individuals who are highly motivated, intelligent, and have demonstrated excellence in prior endeavors. The successful candidate should have:
• at least 3-5 years’ directly related experience in a compliance oriented role in a private equity or hedge fund environment with substantial knowledge of relevant rules and regulations and the day-to-day compliance affairs of private funds
• an undergraduate degree is required
• demonstrated ability to write effectively
• superior organizational skills
• strong communication skills
The Associate should demonstrate the following personal competencies:
• Strong technical skills, sharp intellect, and ability to understand difficult, complex compliance and business problems
• The ability to work with colleagues to devise pragmatic and creative solutions
• Prioritization, perspective and focus on critical tasks that add value
• Excellent organizational skills and follow-through 
• Highly effective oral and written communication
• Natural ability to develop relationships, internally and externally 
Personal Characteristics
The Associate should possess the following personal characteristics:
• Outstanding record of academic achievement and professional accomplishment
• Strong judgment and the ability to engender trust
• Integrity and maturity
• Open, flexible, collaborative, positive and proactive disposition
• “Can do” attitude, sense of urgency, diligent and conscientious work ethic
• Calm demeanor, tolerance for ambiguity and confidence
• High level of patience and emotional intelligence in order to work effectively within an extremely demanding environment
• Striving for excellence and driven to contribute to the Company’s success
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, age, disability, sexual orientation, national origin or any other category protected by law.