Senior Compliance Officer

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Requirements:

• 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.

Responsibilities:

• 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.