Job Description

The role of an Asset Management (“AM”) Alternatives Compliance officer is to assist the firm in preventing, detecting and mitigating compliance, regulatory, and reputational risk within AM by articulating and maintaining the standards of conduct required of the firm’s businesses as well as the laws, regulations and policies governing those businesses.

Divisional Compliance provides daily advice to the business units on investing and lending activities, fundraising, the Investment Advisers Act and other regulatory requirements, and reputational risk, while working closely with other firm departments, including Finance, Operations, Technology, Internal Audit and Legal.

Responsibilities:

• Cover AM Alternatives personnel and provide advice on how to conduct the firm’s business in a manner that complies with the vast array of applicable rules, regulations and regulatory expectations
• Develop, draft and maintain compliance policies and procedures outlining firm requirements, regulations and best practices
• Review equity and debt investments in private companies for potential regulatory, legal and reputational risks and work with deal teams and other control side personnel to address such risks
• Create and implement compliance training programs
• Review and advise on product marketing materials
• Perform look-back reviews, oversight and surveillances to assess compliance risks and breaches
• Assist with regulatory examinations, audits and inquiries
• Analyze new or amended laws, rules and regulations in order to formulate practical solutions to industry-wide issues
• Coordinate with the business, Legal, Technology and other divisions across the firm on new initiatives

Qualifications:

• Bachelor’s Degree, JD or MBA
• 3 - 7 years Compliance, Legal, Regulatory or Financial Services industry experience
• Excellent communications skills
• Ability to handle multiple tasks simultaneously and work under pressure