Applyđź“Ť United States
🧠Full-Time
🔍 Investment management, renewable energy, sustainable infrastructure
- Bachelor’s degree in law, finance, business, or related field; advanced degree or relevant certification.
- 8-10 years of experience in compliance, preferably within the asset management or investment advisory industry.
- Proven experience managing a compliance program for an SEC-registered investment advisor.
- In-depth knowledge of SEC regulations and experience working with marketing and advertising materials within the investment management sector.
- Strong leadership and communication skills, with the ability to collaborate cross-functionally and influence decision-making.
- Ability to work independently in a remote environment while maintaining strong attention to detail and organizational skills.
- Experience with renewable energy or sustainable investment practices is a plus but not required.
- Oversee the compliance program for the firm's registered investment advisor, ensuring adherence to SEC regulations and industry best practices.
- Develop, implement, and maintain compliance policies, procedures, and controls across the organization.
- Conduct regular compliance reviews and audits to ensure the firm meets regulatory obligations.
- Review and approve marketing materials, ensuring compliance with regulatory requirements.
- Collaborate with internal teams to provide guidance on regulatory compliance matters, especially related to investment management activities.
- Lead internal investigations and audits, reporting findings and recommending corrective actions.
- Monitor regulatory developments and communicate changes in relevant laws, rules, and regulations to stakeholders.
- Prepare and submit required filings and reports to the SEC and other regulatory bodies as necessary.
- Provide training and education to employees on compliance policies and practices.
LeadershipCommunication SkillsAttention to detailOrganizational skillsCompliance
Posted 3 months ago
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